The IARD system was upgraded to accept Form ADV-E on November 8, 2010 and all Form ADV-E must be filed electronically through IARD after this date. Form ADV-E filing instructions may be found in the IARD Quick Reference Guides (http://www.iard.com/UserSup

The Commission has adopted new rules and rule amendments under the Investment Advisers Act of 1940 to implement provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act. These rules and rule amendments: • Implement provisions o

Advisers registering or registered with the SEC. The Commission has approved initial registration and annual IARD filing fees for investment advisers registered with the Commission or applying for registration with the Commission (see Release No. IA-3126)

The Securities and Exchange Commission (the "Commission" or "SEC") regulates investment advisers, primarily under the Investment Advisers Act of 1940 (the "Advisers Act"), and the rules adopted under that statute (the "rules"). One of the central elements