Looking for a Sec Forms And Templates? Download it for free!

Form Sec 1707 - Uniform Application For Investment Adviser Registration - Securities And Exchange Commission Page 25

CRIMINAL DISCLOSURE REPORTING PAGE (ADV)

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP ADV) is an

INITIAL OR

AMENDED response used to report details for

affirmative responses to Items 11.A. or 11.B. of Form ADV.

Check item(s) being responded to:

11.A(1)

11.A(2)

11.B(1)

11.B(2)

Use a separate DRP for each event or proceeding. The same event or proceeding may be reported for more than one person or

entity using one DRP. File with a completed Execution Page.

Multiple counts of the same charge arising out of the same event(s) should be reported on the same DRP. Unrelated criminal

actions, including separate cases arising out of the same event, must be reported on separate DRPs. Use this DRP to report all

charges arising out of the same event. One event may result in more than one affirmative answer to the items listed above.

PART I

A. The person(s) or entity(ies) for whom this DRP is being filed is (are):

You (the advisory firm)

You and one or more of your advisory affiliates

One or more of your advisory affiliates

If this DRP is being filed for an advisory affiliate, give the full name of the advisory affiliate below (for individuals, Last

name, First name, Middle name).

If the advisory affiliate has a CRD number, provide that number. If not, indicate "non-registered" by checking the

appropriate box.

Your Name

Your CRD Number

ADV DRP - ADVISORY AFFILIATE

CRD Number

This advisory affiliate is

a firm

an individual

Registered:

Yes

Name (For individuals, Last, First, Middle)

This DRP should be removed from the ADV record because the advisory affiliate(s) is no longer associated with the

adviser.

This DRP should be removed from the ADV record because: (1) the event or proceeding occurred more than ten

years ago or (2) the adviser is registered or applying for registration with the SEC and the event was resolved in the

adviser’s or advisory affiliate’s favor.

If the advisory affiliate is registered through the IARD system or CRD system, has the advisory affiliate submitted a DRP

(with Form ADV, BD or U-4) to the IARD or CRD for the event? If the answer is “Yes,” no other information on this DRP

must be provided.

Yes

NOTE:

The completion of this form does not relieve the advisory affiliate of its obligation to update its IARD or CRD

records.

(continued)

SEC 1707 (01-08)

File 2 of 4

Form Sec 1707 - Uniform Application For Investment Adviser Registration - Securities And Exchange Commission Page 25

Related Articles

Related forms

Related Categories