17 C.F.R. § 279.1

Form ADV, for application for registration of investment adviser and for amendments to such registration statement

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This form shall be filed pursuant to Rule 203-1 (§ 275.203-1 of this chapter) as an application for registration of an investment adviser pursuant to sections 203(c) or 203(g) of the Investment Advisers Act of 1940, and also as an amendment to registration pursuant to Rule 204-1 (§ 275.204-1 of this chapter).

[44 FR 21008, Apr. 9, 1979] Editorial Note:For Federal Register citations affecting Form ADV, see the List of CFR Sections Affected, which appears in the Finding Aids section of the printed volume and at www.govinfo.gov.

Notes of Decisions

Cited in 1 case, 1996–1996 · leading case: Patricia A. Johnson v. Sec. & Exch. Comm'n, 87 F.3d 484 (D.C. Cir. 1996).

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Patricia A. Johnson v. Sec. & Exch. Comm'n, 87 F.3d 484 (D.C. Cir. 1996). “See Form ADV, 17 C.F.R. § 279.1 , Part I, Item 11(C)(4) (must disclose whether SEC has “entered an order denying, suspending, or revoking the applicant’s .”

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