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SUPPORTING STATEMENT
for the Paperwork Reduction Act
Information Collection Submission
Form ADZE
A.JUSTIFICATION
1. Information Collection NecessityRule 206(4)2, adopted under Section 206(4) (15 U.S.C.
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How to fill out form adv-e
How to fill out form adv-e
01
Start by gathering all the necessary information and documents needed to fill out Form ADV-E.
02
Begin by providing the basic information about your firm, such as its name, address, and contact details.
03
Specify the type of filing you are making and the reporting period covered by the form.
04
Fill out the various sections of the form, including Schedule A, Schedule B, and Schedule C.
05
Provide details about any custody or sub-custody arrangements your firm has, if applicable.
06
Disclose any disciplinary events, legal actions, or regulatory proceedings involving your firm or its personnel.
07
Complete the certification section of the form and sign it.
08
Review the completed form for accuracy and completeness before submitting it.
09
Submit the form electronically through the Investment Adviser Registration Depository (IARD) system or by mail.
10
Keep a copy of the completed form and any supporting documents for your records.
Who needs form adv-e?
01
Form ADV-E is required for investment advisers who have custody of client funds or securities.
02
It must be filed by registered investment advisers and exempt reporting advisers who meet the custody rule requirements.
03
This form provides important information to the Securities and Exchange Commission (SEC) regarding the custody practices of an investment adviser.
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What is form adv-e?
Form ADV-E is a form filed by investment advisers to report their annual audited financial statements.
Who is required to file form adv-e?
Investment advisers who are required to be registered with the Securities and Exchange Commission (SEC) are required to file Form ADV-E.
How to fill out form adv-e?
Form ADV-E must be filled out with the assistance of a certified public accountant (CPA) who will audit the adviser's financial statements.
What is the purpose of form adv-e?
The purpose of Form ADV-E is to provide assurance to clients and regulators that the investment adviser's financial statements are accurate and reliable.
What information must be reported on form adv-e?
Form ADV-E requires the investment adviser to disclose their total assets, total liabilities, and all material changes to their financial situation.
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