You will pay the state filing fee through IARD which passes your payment to the state securities authority where your filing is made.Be sure you have sufficient funds in your IARD Flex-Funding Account to pay the state filing fee before you try to submit your Form ADV amendment.A: Fees are charged based on your firm's regulatory assets under management.Fees must be credited to your firm's IARD Flex-Funding Account before you can submit your filing.Q: Why are we being charged filing fees for using IARD?A: Filing fees are charged to cover the costs and maintenance of IARD.
A: A Temporary Hardship Filing extends an adviser's electronic filing deadline for seven business days.
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.
However, you will pay your state Notice Filing fees through IARD when filing electronically. A: If you want a state to receive Notice Filings, check the box next to the appropriate state under Item 2C of Part 1A of Form ADV.
Q: I am a SEC-registered investment adviser and I need to make Notice Filings with another state. Most states charge advisers a filing fee for making Notice Filings with them.