Requesting Copies of the Advisers Act, Rules
usinfo | 2014-06-04 16:22

Requesting Copies of the Advisers Act, Rules, Forms, Letters, and Releases Paper copies of the Advisers Act, the rules, the forms, no-action and interpretative letters, and releases may be obtained as follows:

• The Advisers Act and the Forms.   Request a copy of the "Investment Advisers Act of 1940," Forms ADV (which includes Schedule I), Forms ADV-E and ADV-W, and additional copies of this Investment Adviser Registration Package, by calling the Publications Unit of the Commission at (202) 942-4046, or by sending a written request to: Publications Unit, U.S. Securities and Exchange Commission, 450 5th Street, N.W., Mail Stop C-11, Washington, D.C. 20549. There is no charge. When requesting Form ADV or the Investment Adviser Registration Package, advisers that are not U.S. residents should specifically ask for Forms 4-R, 5-R, 6-R, and 7-R concerning consent to service of process.

• The Rules.   Request a copy of the "Code of Federal Regulations (CFR), Title 17, Part 240 to end," Stock No. 869-026-00056-5, by calling the Superintendent of Documents, Government Printing Office, at (202) 512-1800, or by faxing a request to (202) 512-2250. There is a charge. If requesting by telephone or fax, payment must be made by Visa or MasterCard. Copies of the rules also may be obtained by writing to the Superintendent of Documents, Government Printing Office, P.O. Box 371954, Pittsburgh, PA 15250-7954. When requesting by mail, payment may be made by Visa, MasterCard, personal check, or money order.

• No-Action and Interpretative Letters and Releases.   Request a copy of a particular no-action or interpretative letter or release from the Office of Filings and Information Services, Public Reference Branch, by faxing a request to (202) 777-1030, by calling (202) 551-8090, or by writing to the Office of Filings and Information Services, Public Reference Branch, U.S. Securities and Exchange Commission, Room 1024, Mail Stop 1-2, 450 5th Street, N.W., Washington, D.C. 20549. There is a charge. Each request must provide the name and date of the letter, or the number and date of the release being requested, and include: the name and address to which the material is to be mailed (the Commission will not fax any material); the requester's telephone number; and a statement that the requester will be responsible for all charges. For additional information, please contact the Public Reference Branch of the Commission at (202) 551-8090.

In addition, electronic copies of the Advisers Act, the rules, and the formsare available.

 

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