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Investment Advisor Registration Depository Active

SEC announces the start of filings at IARD Site, full registrations to follow

By John M. Baker, Esq.


The SEC announced on June 30, 2000 a web site devoted to the proposed Investment Adviser Registration Depository (IARD), which is to accept filings by SEC-registered investment advisers on the proposed amended Form ADV.

The web site has information on IARD filings, including a pilot program for advisers who can’t wait to start using the new and as yet unapproved form. Advisers who volunteer for the pilot program will start filing on October 2, 2000, while other advisers will be assigned to a date ranging from January 2 to April 30, 2001; for some reason, advisers with a fiscal year other than December 31 will be assigned the later dates.

The IARD web site is at http://www.sec.gov/IARD/


Copyright 2000, John M. Baker, Esq., Stradley, Ronon, Stevens & Young, LLP, 1220 19th Street, N.W., Suite 700, Washington, DC 20036 – (202) 822-9611- Fax (202) 822-0140 This article was originally posted to the FundLaw List, http://www.egroups.com/group/fundlaw. To subscribe to FundLaw, send a blank e-mail to fundlaw-subscribe@egroups.com


Nothing herein is intended as legal or financial advice. The law is different in different jurisdictions, and the facts of a particular matter can change the application of the law. Please consult an attorney or your financial advisor before acting upon the information contained in this article.


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