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This document provides general information and scannable specifications for reproducing Form U-6, which is designed for electronic scanning for faster processing and fewer errors in the context of the Public Service Company Tax in Hawaii.
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Form U-6 is a report that is used for the filing of information regarding certain investment advisory activities, particularly pertaining to investment advisers that are registered or required to register with the SEC or state regulators.
Investment advisers who are required to register or are currently registered with the SEC or state regulators must file Form U-6 when certain circumstances arise, such as disciplinary actions.
Form U-6 must be filled out by providing specific information about the investment adviser, including the nature of the disciplinary event, the time and place of the event, and the disposition of the matter.
The purpose of Form U-6 is to provide a mechanism for reporting disciplinary actions and other relevant information concerning investment advisers, enhancing transparency and protecting investors.
Information that must be reported on Form U-6 includes details of disciplinary actions, criminal charges, investment-related violations, and any other events that may affect the adviser’s registration status.
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