17 CFR 279.1 - Form ADV, for application for registration of investment adviser and for amendments to such registration statement
| Cite as | 17 CFR 279.1 |
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63 practice notes
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Registration of Municipal Advisors
...advisors that may register with the Commission.\976\ --------------------------------------------------------------------------- \975\ See 17 CFR 279.1. See also Proposal, 76 FR \976\ See Proposal, 76 FR 840. --------------------------------------------------------------------------- Form M......
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Security-Based Swap Data Repository Registration, Duties, and Core Principles
...at http://www.sec.gov/about/forms/formsip.pdf; Form BD, 17 CFR 249.501, available at http://www.sec.gov/about/forms/formbd.pdf; Form ADV, 17 CFR 279.1, available at If an applicant is a non-resident SDR, then the signer of Form SDR is also required to certify that the applicant can, as a ma......
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Investment advisers and investment companies:
Compliance programs,
...Act''), and amendments to rule 204-2 (17 CFR 275.204-2) under the Advisers Act, and to Part 1, Schedule A, Item 2(a) of Form ADV (17 CFR 279.1).\2\ \2\ Unless otherwise noted, when we refer to rule 38a-1 or any paragraph of the rule, we are referring to 17 CFR 270.38a-1 of the Code of Feder......
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Part III
...[17 CFR 275.203(b)(3)-1], 204-2 [17 CFR 275.204-2], 205-3 [17 CFR 275.205-3], and 206(4)-2 [17 CFR 275.206(4)- 2],\1\ and Form ADV [17 CFR 279.1] under the Investment Advisers Act of 1940 [15 U.S.C. 80b] (the ``Advisers Act'' or \1\ Unless otherwise noted, when we refer to rules 203(b)(3)-1......
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1 cases
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Johnson v. S.E.C., No. 95-1340
...vocation. Suspended brokers must forever after disclose the sanction, and it becomes part of their permanent public file. See Form ADV, 17 C.F.R. § 279.1, Part I, Item 11(C)(4) (must disclose whether SEC has "entered an order denying, suspending, or revoking the applicant's ... registration......
1 firm's commentaries
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SEC Adopts Pay-To-Play Rule for Investment Advisers
...covered advisers, the number of employees will be determined by what an adviser reports on its annual updating amendment to Form ADV (17 C.F.R. § 279.1). Id. § Id. § 275.206(4)-5(e). Id. § 275.206(4)-5(e). Adopting Release, 75 Fed. Reg. at 41,057. 17 C.F.R. § 275.206(4)-5(d). Adopting Relea......