Federal IA Filing Requirements
Name Changes
Documents may be submitted through Web IARD where possible, but the fees must contiue to be submitted directly to the Bureau.
Submit, directly to the Bureau, a list of such investment adviser representatives and their social security numbers.
Upon receipt of the above, a confirmation of the notice filing amendment will be sent.
Federal IA Filing Requirements
All Other Amendments to Form ADV
CHANGE OF CONTROL
May be submitted through Web IARD. No fee. Or, submit a copy of Form ADV Schedule C filed wit the SEC.
ALL OTHER AMENDMENTS TO FORM ADV
May be submitted through Web IARD. No fee. Or, submit copies of all documents submitted to the SEC, including annual amendments (filed whether directly with the SEC or through Web IARD) to the Bureau within 10 days of their submission to the SEC.
Federal IA Filing Requirements
Financial Information Filing
Submit directly to the Bureau. No fee. Within 90 days from the federal covered investment adviser's fiscal year end, submit an audited balance sheet if required by Form ADV. If a surprise examination of clients' funds and securities is required because the federal covered adviser has custody of client funds and/or securities, a copy of the report of examination must be promptly filed with the Bureau.