An application for either a temporary or continuing hardship exemption previously granted by the SEC. The form contains identifying information of the adviser, and the reason for the hardship continuance request. This infomation must be provided regardless of whether the hardship is temporary or continuing.


This form is pursuant to the Investment Advisers Act of 1940. Only small business advisers are eligible for continuing hardship exemptions. The information supplied on the form will differ slightly, depending upon which type of hardship is requested.

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