SEC Form ADV-E

DEFINITION of 'SEC Form ADV-E'

A certification of client assets, both cash and securities that are held by a Registered Investment Adviser. The SEC Form ADV-E is used chiefly by accountants. It contains both information about the adviser and the state his or her practice along with a listing of client securities and holdings.

BREAKING DOWN 'SEC Form ADV-E'

This form is required by the SEC pursuant to the Investment Adviser's Act of 1940. The form is evaluated by an independent accountant for accuracy and compliance. The ultimate purpose of the form is to ensure proper handling of client assets.

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RELATED FAQS
  1. Under the Uniform Securities Act, which of the following advisers is NOT defined ...

    The correct answer is b). Federal covered advisers include those who manage client assets of $25,000,000 or more or who advises ... Read Answer >>
  2. The de Minimis clause for investment advisers means:

    A. An investment adviser must register with the state if it holds less than $25 million in assets.B. An investment adviser ... Read Answer >>
  3. Under the “Brochure” rule of the Investment Advisers Act of 1940, which of these ...

    Under the "Brochure" rule of the Investment Advisers Act of 1940, which of these statements is true? a. The ADV Part II or ... Read Answer >>
  4. What is the difference between fee-only advisors and fee-based advisors?

    Better manage your retirement account by understanding the important differences between fee-only and fee-based financial ... Read Answer >>
  5. What is the difference between fee-based advisors and commission-based advisors?

    Understand the difference between fee-based advisers and commission-based advisers. Learn what types of duties each type ... Read Answer >>
  6. Under the Uniform Securities Act, the registration of an investment adviser results ...

    The correct answer is b. Clerical employees do not need to be registered as investment adviser representatives, while solicitors, ... Read Answer >>
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