Notice Filing

AAA

DEFINITION of 'Notice Filing'

Information an investment advisor registered with the Securities Exchange Commission may be required by law to submit to state securities authorities. Notice filings include a copy of the ADV form and other modifications that must be filed. This helps protect a consumer by ensuring the expertise of an advisor is valid and authentic.

INVESTOPEDIA EXPLAINS 'Notice Filing'

The ADV form has two main parts. The first component provides details about an advisor's education, business and any punitive actions that have occurred in the past ten years. The second component is comprised of the advisors service fees and investment strategies. It is essential that when you hire someone to be your investment advisor that you request to see both parts of the ADV form.

RELATED TERMS
  1. Securities And Exchange Commission ...

    A government commission created by Congress to regulate the securities ...
  2. Investment Strategy

    An investor's plan of attack to guide their investment decisions ...
  3. Investing

    The act of committing money or capital to an endeavor (a business, ...
  4. ADV Form

    A required submission to the Securities and Exchange Commission ...
  5. Investment Advisor

    As defined by the Investment Advisors Act of 1940, any person ...
  6. Investment

    An asset or item that is purchased with the hope that it will ...
Related Articles
  1. Options & Futures

    Shopping For A Financial Advisor

    Finding your perfect advisor is as simple as shopping for a car. Read on to learn more.
  2. Brokers

    Choosing An Advisor: Wall Street Vs. Main Street

    A high-profile brand name alone won't meet your personal investing needs. This article will show you what else to look for.
  3. Options & Futures

    Tips For Resolving Disputes With Your Financial Advisor

    Before you blame your advisor for your losses, be sure you know your rights and responsibilities.
  4. Investing

    There are so many stockbrokers out there. How do I go about choosing the best one for me?

    If you decide that you have the knowledge and experience to take on stock investing, or if you feel you would like to give it a shot without committing a large amount of money, an online/discount ...
  5. Options & Futures

    Is it important to check the professional history of my investment advisor?

    Absolutely! Just as finding a good mechanic will help keep your car running smoothly, finding a good broker or financial advisor can help keep your portfolio in good shape. On the flip side, ...
  6. Economics

    The Economic Impact of Better US-Cuba Relations

    We examine what the normalization of relations between the US and Cuba will mean for the two countries' economies.
  7. Investing

    Corporate Governance

    Corporate governance refers to the formally established guidelines that determine how a company is run. The company’s board of directors approves and periodically reviews the guidelines, which ...
  8. Personal Finance

    The World's Top 10 Law Firms

    Here is a list of world's top ten law firms in terms of revenue.
  9. Savings

    I’m twice divorced –-can I still collect spousal benefits?

    Unsure if you’re eligible for spousal benefits if you’re divorced –more than once? Rob Kron from Blackrock gives a simple answer.
  10. Forex

    Bitcoin's Main Stumbling Block: Navigating The Law

    Coders created Bitcoin to be decentralized and independent of governments and banks. Authorities are still struggling to create a legal framework.

You May Also Like

Hot Definitions
  1. Commercial Paper

    An unsecured, short-term debt instrument issued by a corporation, typically for the financing of accounts receivable, inventories ...
  2. Federal Funds Rate

    The interest rate at which a depository institution lends funds maintained at the Federal Reserve to another depository institution ...
  3. Fixed Asset

    A long-term tangible piece of property that a firm owns and uses in the production of its income and is not expected to be ...
  4. Break-Even Analysis

    An analysis to determine the point at which revenue received equals the costs associated with receiving the revenue. Break-even ...
  5. Key Performance Indicators - KPI

    A set of quantifiable measures that a company or industry uses to gauge or compare performance in terms of meeting their ...
  6. Bank Guarantee

    A guarantee from a lending institution ensuring that the liabilities of a debtor will be met. In other words, if the debtor ...
Trading Center