It is available when unexpected difficulties (such as a computer malfunction or an electrical outage) prevent an adviser from meeting a filing deadline. Securities and Exchange Commission, Office of Registrations and Examinations, 100 F Street, NE, Washington DC 20549.The Temporary Hardship Filing is granted automatically to any SEC-registered adviser or SEC Exempt Reporting Adviser that files Form ADV-H with the SEC. Top Q: I am planning to register with the SEC and want to know how to set up an IARD account.A: The fee for initial reports and each annual updating amendment is 0 for Exempt Reporting Advisers.No fee is charged for filing an electronic amendment to Form ADV unless it is an annual updating amendment.A list of state filing fees can be found on com or you can call the appropriate states securities authority for state filing fee information.
A: You can find the IARD Entitlement Forms and related information under "How To Register/File Reports" on this website. Q: Which items in Form ADV must Exempt Reporting Advisers complete?
Top Q: I do not own or have use of a computer to make an electronic filing. A: You have three options: Q: How do I apply for a Temporary Hardship Filing?
A: A Temporary Hardship Filing extends an adviser's electronic filing deadline for seven business days.
The staff of the Division of Investment Management has prepared the following responses to questions related to Form ADV and expects to update this document from time to time to include responses to additional questions.
These responses represent the views of the staff of the Division of Investment Management.