17 CFR 275.203-2 - Withdrawal from investment adviser registration.

§ 275.203-2 Withdrawal from investment adviser registration.

(a)Form ADV-W. You must file Form ADV-W ( 17 CFR 279.2) to withdraw from investment adviser registration with the Commission (or to withdraw a pending registration application).

(b)Electronic filing. Once you have filed your Form ADV ( 17 CFR 279.1) (or any amendments to Form ADV) electronically with the Investment Adviser Registration Depository (IARD), any Form ADV-W you file must be filed with the IARD, unless you have received a hardship exemption under § 275.203-3.

(c)Effective date - upon filing. Each Form ADV-W filed under this section is effective upon acceptance by the IARD, provided however that your investment adviser registration will continue for a period of sixty days after acceptance solely for the purpose of commencing a proceeding under section 203(e) of the Act ( 15 U.S.C. 80b-3(e)).

(d)Filing fees. You do not have to pay a fee to file Form ADV-W through the IARD.

(e)Form ADV-W is a report. Each Form ADV-W required to be filed under this section is a “report” within the meaning of sections 204 and 207 of the Act ( 15 U.S.C. 80b-4 and 80b-7).

[ 65 FR 57449, Sept. 22, 2000]

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United States Code
U.S. Code: Title 15 - COMMERCE AND TRADE

Title 17 published on 09-May-2017 03:50

The following are ALL rules, proposed rules, and notices (chronologically) published in the Federal Register relating to 17 CFR Part 275 after this date.

  • 2017-05-09; vol. 82 # 88 - Tuesday, May 9, 2017
    1. 82 FR 21487 - Amendments to Investment Advisers Act Rules To Reflect Changes Made by the FAST Act
      GPO FDSys XML | Text
      Proposed rule.
      Comments on the proposed rule amendments should be received on or before June 8, 2017.
      17 CFR Part 275