Under the Uniform Securities Act, amendments to an investment adviser's Form ADV must be filed promptly. On August 31, your firm closes one of its branch offices and, therefore, you must file an amendment. What would constitute a prompt filing with the IARD?

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Kirsten Campos

10 November, 15:46

Under the Uniform Securities Act, amendments to an investment adviser's Form ADV must be filed promptly. On August 31, your firm closes one of its branch offices and, therefore, you must file an amendment. What would constitute a prompt filing with the IARD?

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Van Walton · Answer 1

C. Filing the notice by September 30 of the current year

Explanation:

Amendments to Form ADV are required to be filed promptly with the Investment Adviser Registration Depository, and will be considered filed promptly if filed within 30 days of the event that caused the filing requirement.