SEC Form ADV

AAA

DEFINITION of 'SEC Form ADV'

The application for registration as an investment adviser or an amendment thereto. Part one of the SEC Form ADV provides personal information about the applicant. Part two outlines the applicant's line and scope of business, as well as the nature of the adviser's clientele and fees charged. The application is used to register with both state and federal authorities.

INVESTOPEDIA EXPLAINS 'SEC Form ADV'

Form ADV is required directly by the SEC and must be completed by any adviser seeking federal registration. This form is issued under the Investment Adviser's Act of 1940. All information recorded on the form becomes available for public scrutiny under federal law.

RELATED TERMS
  1. SEC Form 1-E

    A notification form required by the SEC. This form lists all ...
  2. Securities And Exchange Commission ...

    A government commission created by Congress to regulate the securities ...
  3. SEC Fee

    A nominal fee that was created by the Securities Exchange Act ...
  4. SEC Form F-1

    A filing with the Securities and Exchange Commission (SEC) required ...
  5. Securities Act Of 1933

    A federal piece of legislation enacted as a result of the market ...
  6. TSA Pre

    This program allows travelers deemed low-risk by the Transportation ...
Related Articles
  1. Investing Basics

    SEC Filings: Forms You Need To Know

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

    Policing The Securities Market: An Overview Of The SEC

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

    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. Investing

    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. Bonds & Fixed Income

    How Diaspora Bonds Work

    Developing and emerging nations with sizable populations living overseas are using diaspora bonds to raise financing from emigrants.
  6. Fundamental Analysis

    What is the difference between EBIT and operating income?

    Read about some of the subtle differences identified by the SEC between earnings before interest and taxes, or EBIT, and operating income.
  7. Fundamental Analysis

    What kind of financial reporting requirements does GAAP set out?

    Look at some of the major financial reporting requirements set forth by the generally accepted accounting principles and the required financial statements.
  8. 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.
  9. Options & Futures

    When short selling, how long should you hold on to a short?

    Explore the reasons for short selling and the various factors that influence how long an investor may wish to maintain a short position.
  10. Investing Basics

    Why does GAAP require accrual basis rather than cash accounting?

    Discover why GAAP requires the accrual basis for accounting rather than the cash basis, and learn why it is important for investors and lenders.

You May Also Like

Hot Definitions
  1. Treasury Bond - T-Bond

    A marketable, fixed-interest U.S. government debt security with a maturity of more than 10 years. Treasury bonds make interest ...
  2. Weight Of Ice, Snow Or Sleet Insurance

    Financial protection against damage caused to property by winter weather specifically, damage caused if a roof caves in because ...
  3. Weather Insurance

    A type of protection against a financial loss that may be incurred because of rain, snow, storms, wind, fog, undesirable ...
  4. Portfolio Turnover

    A measure of how frequently assets within a fund are bought and sold by the managers. Portfolio turnover is calculated by ...
  5. Commercial Paper

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

    The interest rate at which a depository institution lends funds maintained at the Federal Reserve to another depository institution ...
Trading Center