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OMB APPROVAL OMB Number: 3235-0240
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Provide accurate information regarding your securities business, such as the name of your firm, its address, and its registration number.
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Individuals or entities engaged in the securities business need to fill out form adv-nr - securities. This includes investment advisers, brokers, dealers, and other professionals who provide securities-related services.
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Form ADV-NR - Securities is a form that is used to register with the Securities and Exchange Commission (SEC) as a foreign investment adviser who does not have a place of business in the United States.
Foreign investment advisers who do not have a place of business in the United States and want to register with the SEC are required to file Form ADV-NR - Securities.
Form ADV-NR - Securities can be filled out electronically through the Investment Adviser Registration Depository (IARD) system. The form requires information about the adviser's business, ownership, clients, employees, and any disciplinary history.
The purpose of Form ADV-NR - Securities is to provide the SEC with information about the foreign investment adviser's business in order to regulate and monitor their activities in the United States.
Form ADV-NR - Securities requires information about the adviser's business practices, clients, employees, assets under management, and any disciplinary history.
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Relevant keywords

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