Form Adv (Paper Version) General Instructions Page 12
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35o to amend Schedule A or Schedule B, complete and submit Schedule C.
Where you submit your paper filing depends on why you are eligible to file on paper:
• If you are filing on paper because you have been granted a continuing hardship
exemption, submit one manually signed Form ADV and one copy to: IARD Document
Processing, FINRA, P.O. Box 9495, Gaithersburg, MD 20898-9495.
If you complete Form ADV on paper and submit it to FINRA but you do not have a
continuing hardship exemption, the submission will be returned to you.
• If you are filing on paper because a state in which you are registered or in which you are
applying for registration allows you to submit paper instead of electronic filings, submit
one manually signed Form ADV and one copy to the appropriate state securities
authorities.
19.
Who is required to file Form ADV-NR?
Every non-resident general partner and managing agent of all SEC-registered advisers and
exempt reporting advisers, whether or not the adviser is resident in the United States, must
file Form ADV-NR in connection with the adviser’s initial application or report. A general
partner or managing agent of an SEC-registered adviser or exempt reporting adviser who
becomes a non-resident after the adviser’s initial application or report has been submitted
must file Form ADV-NR within 30 days. Form ADV-NR must be filed on paper (it cannot
be filed electronically).
Submit Form ADV-NR to the SEC at the following address:
Securities and Exchange Commission, 100 F Street, NE, Washington, DC 20549;
Attn: OCIE Registrations Branch.
Failure to file Form ADV-NR promptly may delay SEC consideration of your initial
application.
Federal Information Law and Requirements
Sections 203 and 204 of the Advisers Act [15 U.S.C. §§ 80b-3 and 80b-4] authorize the SEC to
collect the information required by Form ADV. The SEC collects the information for regulatory
purposes, such as deciding whether to grant registration. Filing Form ADV is mandatory for
advisers who are required to register with the SEC and for exempt reporting advisers. The SEC
maintains the information submitted on this form and makes it publicly available. The SEC may
return forms that do not include required information. Intentional misstatements or omissions
constitute federal criminal violations under 18 U.S.C. § 1001 and 15 U.S.C. § 80b-17.
SEC’s Collection of Information
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