Source: https://www.law.cornell.edu/cfr/text/17/275.0-4
Timestamp: 2016-08-29 13:27:42
Document Index: 782267011

Matched Legal Cases: ['art 275', '§ 275', '§ 80', '§ 80', '§ 80', '§ 80', '§ 80', '§ 80', 'art 275', 'arts 275', 'art 275', 'arts 275']

17 CFR 275.0-4 - General requirements of papers and applications. | US Law | LII / Legal Information Institute
CFR › Title 17 › Chapter II › Part 275 › Section 275.0-4 17 CFR 275.0-4 - General requirements of papers and applications.
§ 275.0-4 General requirements of papers and applications.
(1) All papers required to be filed with the Commission shall, unless otherwise provided by the rules and regulations, be delivered through the mails or otherwise to the Securities and Exchange Commission, Washington, DC 20549. Except as otherwise provided by the rules and regulations, such papers shall be deemed to have been filed with the Commission on the date when they are actually received by it. (2) All filings required to be made electronically with the Investment Adviser Registration Depository (“IARD”) shall, unless otherwise provided by the rules and regulations in this part, be deemed to have been filed with the Commission upon acceptance by the IARD. Filings required to be made through the IARD on a day that the IARD is closed shall be considered timely filed with the Commission if filed with the IARD no later than the following business day. (3) Filings required to be made through the IARD during the period in December of each year that the IARD is not available for submission of filings shall be considered timely filed with the Commission if filed with the IARD no later than the following January 7. Note to paragraph (a)(3):
Each year the IARD shuts down to filers for several days during the end of December to process renewals of state notice filings and registrations. During this period, advisers are not able to submit filings through the IARD. Check the Commission's Web site at http://www.sec.gov/iard for the dates of the annual IARD shutdown.
Formal specifications respecting applications. Every application for an order under any provision of the Act, for which a form with instructions is not specifically prescribed, and every amendment to such application, shall be filed in quintuplicate. One copy shall be signed by the applicant, but the other four copies may have facsimile or typed signatures. Such applications shall be on paper no larger than 8
1/2 × 11 inches in size. To the extent that the reduction of larger documents would render them illegible, those documents may be filed on paper larger than 8
1/2 × 11 inches in size. The left margin should be at least 1
1/2 inches wide and, if the application is bound, it should be bound on the left side. All typewritten or printed matter (including deficits in financial statements) should be set forth in black so as to permit photocopying and microfilming.
Authorization respecting applications.
(1) Every application for an order under any provision of the Act, for which a form with instructions is not specifically prescribed and which is executed by a corporation, partnership, or other company and filed with the Commission, shall contain a concise statement of the applicable provisions of the articles of incorporation, bylaws, or similar documents, relating to the right of the person signing and filing such application to take such action on behalf of the applicant, and a statement that all such requirements have been complied with and that the person signing and filing the same is fully authorized to do so. If such authorization is dependent on resolutions of stockholders, directors, or other bodies, such resolutions shall be attached as an exhibit to, or the pertinent provisions thereof shall be quoted in, the application. (2) If an amendment to any such application shall be filed, such amendment shall contain a similar statement or, in lieu thereof, shall state that the authorization described in the original application is applicable to the individual who signs such amendment and that such authorization still remains in effect. (3) When any such application or amendment is signed by an agent or attorney, the power of attorney evidencing his authority to sign shall contain similar statements and shall be filed with the Commission. (d)
Verification of applications and statements of fact. Every application for an order under any provision of the Act, for which a form with instructions is not specifically prescribed and every amendment to such application, and every statement of fact formally filed in support of, or in opposition to, any application or declaration shall be verified by the person executing the same. An instrument executed on behalf of a corporation shall be verified in substantially the following form, but suitable changes may be made in such form for other kinds of companies and for individuals: State of __________________ County of __________, SS:______
The undersigned being duly sworn deposes and says that he has duly executed the attached __________ dated _____, 19__, for and on behalf of ____________ (Name of company); that he is the ________ (Title of officer) of such company; and that all action by stockholders, directors, and other bodies necessary to authorize deponent to execute and file such instrument has been taken. Deponent further says that he is familiar with such instrument, and the contents thereof, and that the facts therein set forth are true to the best of his knowledge, information and belief. (Signature)
(Type or print name beneath) Subscribed and sworn to before me a __________ (Title of officer) this _____ day of _____, 19__. [official seal] My commission expires______
Statement of grounds for application. Each application should contain a brief statement of the reasons why the applicant is deemed to be entitled to the action requested with a reference to the provisions of the Act and of the rules and regulations under which application is made. (f)
Name and address. Every application shall contain the name and address of each applicant and the name and address of any person to whom any applicant wishes any question regarding the application to be directed. (g)
Proposed notice. A proposed notice of the proceeding initiated by the filing of the application shall accompany each application as an exhibit thereto and, if necessary, shall be modified to reflect any amendments to such application. (h)
Definition of application. For purposes of this rule, an “application” means any application for an order of the Commission under the Act other than an application for registration as an investment adviser. (i) The manually signed original (or in the case of duplicate original) one duplicate originals of all registrations, applications, statements, reports, or other documents filed under the Investment Advisers Act of 1940, as amended, shall be numbered sequentially (in addition to any internal numbering which otherwise may be present) by handwritten, typed, printed, or other legible form of notation from the facing page of the document through the last page of that document and any exhibits or attachments thereto. Further, the total number of pages contained in a numbered original shall be set forth on the first page of the document. [41 FR 39019, Sept. 14, 1976, as amended at 44 FR 4666, Jan. 23, 1979; 47 FR 58239, Dec. 30, 1982; 68 FR 42248, July 17, 2003; 76 FR 71877, Nov. 21, 2011] This is a list of United States Code sections, Statutes at Large, Public Laws, and Presidential Documents, which provide rulemaking authority for this CFR Part.This list is taken from the Parallel Table of Authorities and Rules provided by GPO [Government Printing Office].It is not guaranteed to be accurate or up-to-date, though we do refresh the database weekly. More limitations on accuracy are described at the GPO site.United States CodeU.S. Code: Title 15 - COMMERCE AND TRADE§ 80b-2§ 80b-3§ 80b-4§ 80b-4a§ 80b-6§ 80b-11
Title 17 published on 2015-04-01The following are ALL rules, proposed rules, and notices (chronologically) published in the Federal Register relating to 17 CFR Part 275 after this date.2015-07-02; vol. 80 # 127 - Thursday, July 2, 201580 FR 38051 - Amendments to Form ADV and Investment Advisers Act Rules
typeregulations.gov FR Doc.C1-2015-12778 RIN3235-AL75 Release No.IA-4091 File No.S7-09-15 SECURITIES AND EXCHANGE COMMISSION 17 CFR Parts 275 and 279 Summary
2015-07-01; vol. 80 # 126 - Wednesday, July 1, 201580 FR 37538 - Political Contributions by Certain Investment Advisers: Ban on Third-Party Solicitation; Notice of Compliance Date
typeregulations.gov FR Doc.2015-16048 RIN3235-AK39 File No.S7-18-09 Release No.IA-4129 SECURITIES AND EXCHANGE COMMISSION Notice of compliance date. The compliance date for the ban on third-party solicitation under 17 CFR 275.206(4)-5 [rule 206(4)-5] is July 31, 2015. 17 CFR Part 275 SummaryThe Securities and Exchange Commission (“Commission” or “SEC”) previously set and extended the compliance date for the ban on third-party solicitation until nine months after the compliance date of a final rule adopted by the Commission by which municipal advisors must register under the Securities Exchange Act of 1934 (“final municipal advisor registration rule”) and indicated that notice with respect thereto would be provided in the Federal Register . This notice of compliance date is being published to provide the notice of the compliance date.
2015-06-12; vol. 80 # 113 - Friday, June 12, 201580 FR 33718 - Amendments to Form ADV and Investment Advisers Act Rules
typeregulations.gov FR Doc.2015-12778 RIN Release No.IA-4091 File No.S7-09-15 SECURITIES AND EXCHANGE COMMISSION Proposed rule. Comments should be received on or before August 11, 2015. 17 CFR Parts 275 and 279 SummaryThe Securities and Exchange Commission is proposing amendments to Form ADV that are designed to provide additional information regarding advisers, including information about their separately managed account business; incorporate a method for private fund adviser entities operating a single advisory business to register using a single Form ADV; and make clarifying, technical and other amendments to certain Form ADV items and instructions. The Commission also is proposing amendments to the Advisers Act books and records rule and technical amendments to several Advisers Act rules to remove transition provisions that are no longer necessary.