Tag Archives: Form ADV Annual Amendment

State Registered Firms – Verify Whether Annual Financial Statement Must Be Submitted to Regulator

November 15, 2023

Along with paying annual renewals via IARD system and updating your Form ADV Annual Amendment, it’s important to remember that many state securities regulators also require a state registered investment adviser firm to submit an annual financial statement and/or other documents (e.g., proof of continued coverage of a surety bond, investment advisory client agreement if material changes) directly to the state securities regulator (outside of the IARD/CRD system).

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Understanding Nebraska’s Annual Reporting Requirements for State-Registered Investment Advisers

November 14, 2023

For investment adviser firms which are state registered with Nebraska, it’s crucial to be aware that there are certain additional documents which must be submitted directly (via a ShareFile link) to the Nebraska Securities Bureau in addition to and separate from the paying the regulatory fees associated with annual renewals and filing the Form ADV Annual Amendment via the IARD (“Investment Adviser Registration Depository”) system.

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Delivery of Form ADV Part 2A to Existing Clients

April 06, 2023

An investment adviser is required to deliver to each client, annually within 120 days after the end of the investment adviser’s fiscal year and without charge, if there are material changes to the investment adviser’s brochure since the investment adviser’s last annual updating amendment:

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Prepare the Form ADV Annual Amendment

December 23, 2022

An investment adviser with a fiscal year end of December 31 is encouraged to begin preparing their required Form ADV annual updating amendments. The Form ADV annual amendment must be submitted through the IARD system within 90 days of the investment adviser’s fiscal year end.

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Prepare Information for Form ADV Annual Amendment

November 29, 2022

As an investment adviser, your firm is responsible for preparing and filing through the IARD system a Form ADV Part 1 Annual Amendment that must be submitted each year no later than 90 days after your investment adviser firm’s fiscal year end.

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