Investopedia

Continue to Site »

SEC Form ADV-W

Filed Under » ,
Dictionary Says

Definition of 'SEC Form ADV-W'

The form used to withdraw registration as a Registered Investment Adviser with the SEC. This form has several schedules that must be completed listing the advisor's contact information, current business and status of clientele. A statement of financial condition, along with a description of books and records, is also required.
Investopedia Says

Investopedia explains 'SEC Form ADV-W'

This form is submitted when a RIA no longer wishes to maintain his or her active license to practice as an investment adviser. It is also used if the adviser is switching from federal to state registration. But advisers pursuing the latter course of action do not need to complete sections 1E through eight of the form. Other forms related to this filing include Form ADV-R and ADV-S.

Articles Of Interest

  1.

    SEC Filings: Forms You Need To Know

    The forms companies are required to file provide a clear view of their histories and progress.

  2. Policing The Securities Market: An Overview Of The SEC

    Find out how this regulatory body protects the rights of investors.

  3. Where can I find a company's annual report and its SEC filings?

    Thanks to the Internet, finding financial reports is easier than ever. Nowadays, every reputable company has an investor relations section on its website that is a wealth of information. Walt ...

  4. What parties are involved in the creation of an American depositary receipt?

    An American depositary receipt (ADR) is a legal certificate issued by a recognized U.S. bank that represents a specific number of shares of a foreign corporation traded on a U.S. stock exchange. ...

  5. Should You Add A Securities License To Your Qualifications?

    Clients love planners who sell securities, but a securities license takes a lot of work. Learn if the stress and study are worth it.

  6. How To Report A Tax Cheat

    If you report a tax evader to the IRS, you could be eligible for a reward.

  7. GAAP And The IFRS Standards Convergence Efforts In 3 Substantial Areas

    Understand the specific steps that have been taken in hopes of converging the GAAP and the IFRS accounting standards, despite the philosophically and culturally based methodological differences ...

  8. How Much Will Your Taxes Rise Based On Your Salary?

    Find out how high your taxes will rise this year.

  9. Department Of Justice Sues Standard & Poor's Over Mortgage Crisis - Is Moody's Next?

    The U.S. Department of Justice sued Standard & Poor's and is seeking more than $5 billion in damages.

  10. New Tax Laws To Watch Out For In 2013

    With a new year comes new laws, and in 2013 the U.S. government has implemented several changes to the tax code.
comments powered by Disqus
Marketplace
Hot Definitions

  1. Glocalization

    A combination of the words "globalization" and "localization" used to describe a product or service that is developed and distributed globally, but is also fashioned to accommodate the user or consumer in a local market.

  2. Disaster Loss

    A special type of tax-deductible loss, similar to a casualty loss, where a loss has been incurred by taxpayers who reside in an area that has been designated as a federal disaster area by the President.

  3. Fool In The Shower

    The notion that changes or policies designed to alter the course of the economy should be done slowly, rather than all at once.

  4. Pattern Day Trader

    An SEC designation for traders who trade the same security four or more times per day (buys and sells) over a five-day period, and for whom same-day trades make up at least 6% of their activity for that period.

  5. Cost-Push Inflation

    A phenomenon in which the general price levels rise (inflation) due to increases in the cost of wages and raw materials.

  6. Happiness Economics

    The formal academic study of the relationship between individual satisfaction and economic issues, such as employment and wealth.
Trading Center
Array ( )
taggroups(for debug only):
Array ( [0] => Markets )