Form Sec 1707 - Uniform Application For Investment Adviser Registration - Securities And Exchange Commission Page 38
ADVERTISEMENT
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28
29
30
31
32
33
34
35
36
37
38
39
40
41
42
43
44
45
46
47
48
49FORM ADV
Applicant:
SEC File Number:
Date:
Part II - Page 3
801-
3.
Types of Investments. Applicant offers advice on the following: (check those that apply)
A.
Equity securities
H.
United States government securities
(1) exchange-listed securities
I.
Options contracts on:
(2) securities traded over-the-counter
(1) securities
(3) foreign issuers
(2) commodities
B.
Warrants
J.
Futures contracts on:
C.
Corporate debt securities
(1) tangibles
(other than commercial paper)
(2) intangibles
D.
Commercial paper
E.
Certificates of deposit
K.
Interests in partnerships investing in:
F.
Municipal securities
(1) real estate
(2) oil and gas interests
G.
Investment company securities:
(3) other (explain on Schedule F)
(1) variable life insurance
(2) variable annuities
L.
Other (explain on Schedule F)
(3) mutual fund shares
4.
Methods of Analysis, Sources of Information, and Investment Strategies.
A.
Applicant's security analysis methods include: (check those that apply)
(1)
Charting
(4)
Cyclical
(2)
Fundamental
(5)
Other (explain on Schedule F)
(3)
Technical
B.
The main sources of information applicant uses include: (check those that apply)
(1)
Financial newspapers and magazines
(5)
Timing services
(2)
Inspections of corporate activities
(6)
Annual reports, prospectuses, filings with the
Securities and Exchange Commission
(3)
Research materials prepared by others
(7)
Company press releases
(4)
Corporate rating services
(8)
Other (explain on Schedule F)
C.
The investment strategies used to implement any investment advice given to clients include: (check those that apply)
(1)
Long term purchases
(5)
Margin transactions
(securities held at least a year)
(2)
Short term purchases
(6)
Option writing, including covered options,
(securities sold within a year)
uncovered options or spreading strategies
(3)
Trading (securities sold within 30 days)
(7)
Other (explain on Schedule F)
(4)
Short sales
Answer all items. Complete amended pages in full, circle amended items and file with execution page (page 1).
ADVERTISEMENT
0 votes
Related Articles
Related forms
Form Adv (paper Version) - Uniform Application For Investment Adviser Registration And Report By Exempt Reporting Advisers
Legal
Form 48658 - Thoroughbred Mare Application For Foals Of 2011 - Indiana Horse Racing Commission
Legal
Form Id - Uniform Application For Access Codes To File On Edgar - U.s. Securities And Exchange Commission
Legal
Form Id - Uniform Application For Access Codes To File On Edgar - U.s. Securities And Exchange Commission Washington, Dc
Business
Form S-3 - Registration Statement Under The Securities Act Of 1933 - United States Securities And Exchange Commission
Legal
Related Categories
Parent category: Legal