Home |
Fast Answers | Site Map | Search: |
||||
Electronic Filing for Investment Advisers on IARD:
|
Assets Under Management |
Initial Set-Up Fee |
Annual Updating Fee |
More than $100 million | $1,100 | $550 |
$25 million to $100 million | $800 | $400 |
Less than $25 million | $150 | $100 |
New advisers must pay an Initial Set-Up Fee before they can submit Form ADV electronically through IARD to register with the SEC. Be sure to deposit funds in your IARD account at least 48 hours before submitting your filings.
No fees are charged for filing an electronic amendment to Form ADV unless it is an Annual Updating Amendment (but see initial filing exception discussed above). No fee is charged for electronically filing Form ADV-W.
Many states require SEC registered advisers to file copies of their Form ADV with a state securities regulator ("notice filings") if the SEC adviser does business in the state. State fees charged for making a notice filing now are paid through IARD. For information on state notice filings and related filing fees, check with the appropriate state securities authorities and NASAA.
http://www.sec.gov/divisions/investment/iard/iardfee.shtml
Contact | Employment | Links | FOIA | Forms | Privacy | Modified: 02/21/2002 |