Updating records letter

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Investment advisers registered with the Commission or applying for registration with the Commission will still be subject to applicable state Notice Filing fees associated with any amendment or initial registration filing.

Q: What are the fees for filing reports as an Exempt Reporting Adviser on IARD?

The staff of the Division of Investment Management has prepared the following responses to questions related to Form ADV and expects to update this document from time to time to include responses to additional questions.

These responses represent the views of the staff of the Division of Investment Management.

updating records letter-65

A: Filing fees are charged to cover the costs and maintenance of IARD.A: The fee for initial reports and each annual updating amendment is 0 for Exempt Reporting Advisers.No fee is charged for filing an electronic amendment to Form ADV unless it is an annual updating amendment.e Audit Net is developed and maintained by PRI for the benefit of industries where safety and quality are shared values, implementing a standardized approach to quality assurance.In addition, e Audit Net houses the online Qualified Manufacturers List (QML), which is a searchable database of accredited suppliers.

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