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Arizona Form ADV-H

Name: Arizona Form ADV-H
Brand: US Legal Forms
Price: 59.00 USD
Rating: 4.66 (388 reviews)

Category:

Arizona Secretary of State - Securities - Industry - Investment Adviser

State:

Arizona

Control #:

AZ-BSS-27

Format:

Instant download

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Public form

Description

Form ADV-H Arizona Form ADV-H is a form required by the Arizona Corporation Commission (ACC) for certain investment advisers to register in the state. It is part of the Uniform Application for Investment Adviser Registration, which the SEC and North American Securities Administrators Association (NASA) have adopted. There are three different types of Arizona Form ADV-H: the ADV-H1, ADV-H2, and ADV-H3. The ADV-H1 form is used by federally-registered investment advisers to register in Arizona, while the ADV-H2 and ADV-H3 forms are used by state-registered investment advisers to register in Arizona. The form requires the investment adviser to provide information about their business, including their business name, address, contact information, and the type of services they offer. Additionally, the form requires information about the firm’s owners, officers, and employees, as well as its financial history and other related information.

Arizona Form ADV-H is a form required by the Arizona Corporation Commission (ACC) for certain investment advisers to register in the state. It is part of the Uniform Application for Investment Adviser Registration, which the SEC and North American Securities Administrators Association (NASA) have adopted. There are three different types of Arizona Form ADV-H: the ADV-H1, ADV-H2, and ADV-H3. The ADV-H1 form is used by federally-registered investment advisers to register in Arizona, while the ADV-H2 and ADV-H3 forms are used by state-registered investment advisers to register in Arizona. The form requires the investment adviser to provide information about their business, including their business name, address, contact information, and the type of services they offer. Additionally, the form requires information about the firm’s owners, officers, and employees, as well as its financial history and other related information.

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FAQ

The twelve covered asset categories are: exchange-traded equity securities; non-exchange-traded equity securities; US government/agency bonds; US state and local bonds; sovereign bonds (as defined in the Form); investment-grade corporate bonds; non-investment grade corporate bonds; derivatives; securities issued by

The Uniform Application for Investment Adviser Registration (or more commonly known as the Form ADV) is used as the official application document to register as an investment advisor firm.

Filing Form ADV is mandatory for advisers who are required to register with the SEC and for exempt reporting advisers. The SEC maintains the information submitted on this form and makes it publicly available. The SEC may return forms that do not include required information.

Form ADV is the uniform form used by investment advisers to register with both the SEC and state securities authorities. The form consists of two parts, both of which are available to the public on the SEC's Investment Adviser Public Disclosure (IAPD) website.

You can get a free copy of Form ADV through the Investment Adviser Public Disclosure website at adviserinfo.sec.gov. You can also check state regulator websites where the advisor operates.

Who Is Responsible for Filing Form ADV-E? Investment advisers that have custody of client financial assets or securities are required to file Form ADV-E, which makes sure advisers adhere to regulations.

You can get a free copy of Form ADV through the Investment Adviser Public Disclosure website at adviserinfo.sec.gov. You can also check state regulator websites where the advisor operates.

More info

Filing Form ADV-H is mandatory for investment advisers requesting a temporary or continuing hardship exemption. In these instructions and in Form ADV, "you" means the investment adviser (i.e.3 Form ADV-H, application for a temporary or continuing hardship exemption. The Temporary Hardship Exemption is available automatically upon filing Form ADV-H. Form ADV-H means Notice of Hardship Application for Investment Adviser Registration. To apply for a continuing hardship exemption, an adviser must file Form ADVH at least ten business days before a filing is due. The temporary hardship exemption will be granted when you file a completed. The latest form for Form ADV-H under the Investment Advisers Act of 1940 expires 2023-09-30 and can be found here. (c) Effective date -- Upon filing. How do I file my Form ADV?

Arizona Form ADV-H

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