17 C.F.R. § 275.203-1 Application for investment adviser registration.
Title 17 - Commodity and Securities Exchanges
(a) Form ADV. To apply for registration with the Commission as an investment adviser, you must complete and file Form ADV (17 CFR 279.1) by following the instructions in the Form. (b) Electronic filing. (1) If you apply for registration after January 1, 2001, you must file electronically with the Investment Adviser Registration Depository (IARD), unless you have received a hardship exemption under §275.203–3. Note to paragraph (2) You are not required to file with the Commission a copy of Part II of Form ADV if you maintain a copy of your Part II (and any brochure you deliver to clients) in your files. The copy maintained in your files is considered filed with the Commission. Note to paragraph (c) When filed. Each Form ADV is considered filed with the Commission upon acceptance by the IARD. (d) Filing fees. You must pay NASD (the operator of the IARD) a filing fee. The Commission has approved the amount of the filing fee. No portion of the filing fee is refundable. Your completed application for registration will not be accepted by NASD, and thus will not be considered filed with the Commission, until you have paid the filing fee. [65 FR 57448, Sept. 22, 2000; 65 FR 81737, Dec. 27, 2000; 68 FR 42248, July 17, 2003] Editorial Note: For
Title 17: Commodity and Securities Exchanges
PART 275—RULES AND REGULATIONS, INVESTMENT ADVISERS ACT OF 1940
§ 275.203-1 Application for investment adviser registration.