Maine Form ADV-E (ADV-E Guidance) is a form that is issued by the Maine Office of Securities to provide guidance to securities professionals and firms operating in the state of Maine. The ADV-E Guidance outlines the registration requirements, filing procedures, and other important information related to the registration of investment advisors in Maine. It also provides guidance on the application process for registered investment advisors and the requirements for maintaining registration. There are two types of Maine Form ADV-E (ADV-E Guidance): Part 1A and Part 2A. Part 1A covers the registration process for investment advisors, including the information required to be included in the application, the fees associated with registration, and the procedures for becoming registered. Part 2A covers the requirements for maintaining registration, including annual updates to registration information and reports.
Maine Form ADV-E (ADV-E Guidance)
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FAQ
Form ADV-E is used as a cover page for a certificate of accounting of securities and funds of which the investment adviser has custody (surprise exam report). Form ADV-E contains both information about the adviser and the surprise exam conducted.
This Form must be completed by investment advisers that have custody of client funds or securities and that are subject to an annual surprise examination. This Form may not be used to amend any information included in an investment adviser's registration statement (e.g., business address). 1.
You can get a free copy of Form ADV through the Investment Adviser Public Disclosure website at adviserinfo.sec.gov. You can also check state regulator websites where the advisor operates.
The accountant must file the required surprise examination report within 120 days of the surprise examination and, upon resignation or dismissal, will file a Form ADV-E that may be required to include a statement terminating the surprise examination agreement with the firm.