Did you know?
In the past five years the number of registered investment advisers has grown by over 15% and assets under management have grown by 40%. That’s some data! This makes it even more important to have your SEC Filing Documents and Forms Accessible.
At 247 Accessible Documents we ensure timely delivery of accessible PDF Form ADV or Form PF that are ADA, Section 508 compliant and conform to WCAG. We provide accessibility consultancy to investment advisers to make SEC filing documents and statements accessible.
SEC Filings and its working
The Securities and Exchange Commission (SEC) requires public companies, certain company insiders, and broker-dealers to file periodic financial statements and other disclosures. Finance professionals and investors rely on SEC filings to make informed decisions when evaluating whether to invest in a company.
The SEC - Database of Company - filings, including quarterly and annual reports, registration statements, IPOs and other offerings, insider trade reports and proxy materials can be obtained electronically through the SEC - EDGAR system.
Wet ink signatures are required for any filing or electronic filing with the SEC that requires a signature. Authentication documents must be signed or signed electronically.
Sections 203 and 204 of the Advisers Act authorize the SEC to collect the information required by Form ADV. The SEC collects the information for regulatory purposes, such as deciding whether to grant registration. Filing Form ADV is mandatory for investment advisers who are required to register with the SEC and for exempt reporting advisers.
Different types of Form ADV include form adv-e, form adv-w, form adv-nr, form adv pdf amongst others. As per Section 508, Form ADV or any PDF statements and documents needs to be accessible to people with disabilities. Along with Section 508, Form ADV should be ADA compliant.
Form ADV-E refers to an electronic form investments advisers use in order to register with the Securities and Exchange Commission (SEC) and with authorities in their home states. The principal purpose of this collection of information is to make the examination certificates filed by an accountant pursuant to Rule 206(4)-2(a)(4)(i) under the Adviser Act.
SEC Form ADV-W is used to withdraw registration as a registered investment adviser (RIA) with the Securities and Exchange Commission (SEC). Filing of this Form is mandatory for an investment adviser to withdraw from registration. The principal purpose of this collection of information is to enable the Commission to verify that the activities of an investment adviser seeking to withdraw from registration do not require the investment adviser to be registered and to determine whether terms and conditions should be imposed upon a registrant’s withdrawal.
You must submit Form ADV-NR if you are a non-resident general partner or a non-resident managing agent of any investment adviser (domestic or non-resident). Form ADV-NR must be signed and submitted in connection with the adviser’s initial Form ADV submission.
Form ADV PDF
You must file your Form ADV through the IARD system using the text-searchable Adobe Portable Document Format (“PDF”). If you are registered or are registering with the SEC, you are not required to file through the IARD or otherwise.
For a filing to be removed from the filing website, the Company must write a letter to the filing company on the Company's letterhead and provide a reason for the removal upon the SEC's request. must satisfy the requirement to file an interactive data file in due time by replacing it as an exhibit in the legend of the filing documents, as normally foreseen, and by filing the data file no later than six working days after the due date. A serious problem with a filing that does not contain an error may cause Edgar to suspend the filing.
The quickest way for you to find out whether your filing has been accepted or suspended is through the SEC filing website.
Where do we come in?
At 247 Accessible Documents, our highly experienced accessibility testing team makes sure that your Form ADV is accessible by implementing a thorough manual check. We have a team which includes people with disabilities who make sure that these forms are ADA and Section 508 compliant.
Write to firstname.lastname@example.org to know how we can support you with making your SEC Filing Documents and Forms ADV Accessible.