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12 Cards in this Set
- Front
- Back
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ADV Part 1
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Includes general information about the investment adviser such as name, address, business name, officers, shareholders, and phone number. Also lists all States in which the adviser is registered, or has filed a registration.
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ADV Part 2A
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Brochure - which contains 18 items regarding the firm and management
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ADV Part 2B
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Brochure Supplement - Provides information about the key people ("Supervised Persons") who formulate advice given to each client or who make discretionary investment decisions for that client's assets.
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Form PF
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Private fund advisers that have $150 million or more of AUM must file with the SEC
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Form S1-A
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a simplified registration statement is filed with the SEC and a 20-day cooling off period must be complete. There is no prospectus for a regulation A offering. Rather, the disclosure document is called an Offering Circular.
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Form 147
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Filed to claim exemption under Rule 147 (intrastate offer that is exempt from Federal registration)
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10K
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Corporate issuers whose securities are traded on a national securities exchange are required to register with the SEC and must file annual Audited reports with the SEC
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10Q
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Corporate issuers whose securities are traded on a national securities exchange are required to register with the SEC and must file quarterly unaudited reports with the SEC
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8K Report
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Must be made by the issuer with the SEC if the issuer declares bankruptcy, changes the composition of the Board of Directors, proposes a merger or divestiture, or if other major corporate events occur.
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13D Filing
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Filing When Person Accumulates 5% Equity Position. The filing must be made within 10 business days of the date that the 5% threshold is reached |
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13G Filing
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If a person whoAccumulates 5% Equity Position intends to remain a passive investor, a "13G" filing can be made instead, no later than 45 days after year end.
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13F Filing
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Report of Holdings - the SEC requires institutional investment managers to file a Form 13F if the manager exercises discretion over the accounts of customers who collectively hold $100,000,000, or more, of equity securities. The report is due within 45 days of the quarter ending where, at any month end, the $100,000,000 dollar limit was reached.
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