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Electronic Filing by Investment Advisers; Amendments To Form ADV

SEC · final-rule · Published 2000-09-22 · Effective 2000-10-10 · 65 FR 57438

Document

Document number
00-23888
Federal Register citation
65 FR 57438
CFR reference
17 CFR 200
Type
Rule
Action
Final rule.
Category
final-rule
Agency
US Securities and Exchange Commission
Publication date
2000-09-22
Effective date
2000-10-10
Docket
Release No. IA-1897

Abstract

The Commission is adopting new rules and rule amendments under the Investment Advisers Act of 1940 to require that advisers registered with the Commission make filings under the Act with the Commission electronically through the Investment Adviser Registration Depository (IARD). The Commission is also adopting amendments to Forms ADV and ADV-W that prepare those forms for electronic filing. The new rules implement our statutory mandate to create a one-stop electronic filing system for investment advisers and to provide investors with a readily accessible database of information about investment advisers and persons associated with investment advisers.

Source

Authoritative
Federal Register document
Machine
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