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  1. LII
  2. Electronic Code of Federal Regulations (e-CFR)
  3. Title 17—Commodity and Securities Exchanges
  4. CHAPTER II—SECURITIES AND EXCHANGE COMMISSION
  5. PART 279—FORMS PRESCRIBED UNDER THE INVESTMENT ADVISERS ACT OF 1940

17 CFR Part 279 - PART 279—FORMS PRESCRIBED UNDER THE INVESTMENT ADVISERS ACT OF 1940

  • CFR
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  1. § 279.0-1 Availability of forms.
  2. § 279.1 Form ADV, for application for registration of investment adviser and for amendments to such registration statement.
  3. § 279.2 Form ADV-W, notice of withdrawal from registration as investment adviser.
  4. § 279.3 Form ADV-H, application for a temporary or continuing hardship exemption.
  5. § 279.4 Form ADV–NR, appointment of agent for service of process by non-resident general partner and non-resident managing agent of an investment adviser.
  6. §§ 279.5-279.7 [Reserved]
  7. § 279.8 Form ADV-E, cover page for certificate of accounting of securities and funds in possession or custody of an investment adviser.
  8. § 279.9 Form PF, reporting by investment advisers to private funds.
Authority:
The Investment Advisers Act of 1940, 15 U.S.C. 80b–1, et seq., Pub. L. 111–203, 124 Stat. 1376.
Source:
33 FR 19005, Dec. 20, 1968, unless otherwise noted.

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