Utah Form ADV-H is an exemption filing form for investment advisers registered with the Utah Division of Securities. It is used to register as a state-specific investment adviser representative. There are three types of Utah Form ADV-H: (1) Initial Filing Form, (2) Renewal Filing Form, and (3) Amendment Filing Form. The Initial Filing Form is used for registering a new investment adviser representative in the state of Utah. The Renewal Filing Form is used to renew the registration of an existing investment adviser representative. The Amendment Filing Form is used to update information about an existing investment adviser representative.
Utah Form ADV-H
State:
Utah
Control #:
UT-SKU-0033
Format:
PDF
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Form ADV-H
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Please contact our Customer Services Office at 1-866-275-2677 for further information. Other Filing Information ? Forms filed directly with the Commissioner should be mailed to Department of Financial Protection and Innovation, 2101 Arena Boulevard, Sacramento, CA 95834.
What Is SEC Form ADV Part 2A and 2B? Part 2 of SEC Form ADV serves as a brochure for the firm. It provides disclosures about key information about the company, including its business practices, fees, conflicts of interest, and any discipline that it faced in the past.
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
Specifically, new Item 5. L will require advisers to disclose whether their advertisements include performance results, specific investment advice, testimonials, endorsements, third-party ratings, and (in a change from the proposed rule) hypothetical performance and predecessor performance.
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.
Form ADV contains five parts: ? Part 1A asks a number of questions about you, your business practices, the persons who. own and control you, and the persons who provide investment advice on your behalf. o All advisers registering with the SEC or any of the state securities authorities must complete Part 1A.
The ADV Part 2A contains eighteen (18) disclosure items, each to be included in the investment adviser's Brochure. Each disclosure item is to receive a narrative, plain English response.
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.
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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?