Utah Form ADV-H is an exemption filing form for investment advisers registered with the Utah Division of Securities. It is used to register as a state-specific investment adviser representative. There are three types of Utah Form ADV-H: (1) Initial Filing Form, (2) Renewal Filing Form, and (3) Amendment Filing Form. The Initial Filing Form is used for registering a new investment adviser representative in the state of Utah. The Renewal Filing Form is used to renew the registration of an existing investment adviser representative. The Amendment Filing Form is used to update information about an existing investment adviser representative.
Utah Form ADV-H
State:
Utah
Control #:
UT-SKU-0033
Format:
PDF
Instant download
This website is not affiliated with any governmental entity
Public form
Description
Form ADV-H
How to fill out Utah Form ADV-H?
How much time and resources do you normally spend on composing formal paperwork? There’s a greater way to get such forms than hiring legal specialists or wasting hours browsing the web for an appropriate blank. US Legal Forms is the premier online library that provides professionally designed and verified state-specific legal documents for any purpose, like the Utah Form ADV-H.
To acquire and prepare an appropriate Utah Form ADV-H blank, adhere to these easy steps:
- Look through the form content to ensure it meets your state laws. To do so, read the form description or use the Preview option.
- In case your legal template doesn’t satisfy your needs, locate another one using the search tab at the top of the page.
- If you already have an account with us, log in and download the Utah Form ADV-H. If not, proceed to the next steps.
- Click Buy now once you find the right blank. Select the subscription plan that suits you best to access our library’s full opportunities.
- Register for an account and pay for your subscription. You can make a payment with your credit card or via PayPal - our service is absolutely secure for that.
- Download your Utah Form ADV-H on your device and complete it on a printed-out hard copy or electronically.
Another benefit of our library is that you can access previously downloaded documents that you securely store in your profile in the My Forms tab. Pick them up at any moment and re-complete your paperwork as frequently as you need.
Save time and effort preparing official paperwork with US Legal Forms, one of the most trusted web solutions. Join us today!
Form popularity
FAQ
Please contact our Customer Services Office at 1-866-275-2677 for further information. Other Filing Information ? Forms filed directly with the Commissioner should be mailed to Department of Financial Protection and Innovation, 2101 Arena Boulevard, Sacramento, CA 95834.
What Is SEC Form ADV Part 2A and 2B? Part 2 of SEC Form ADV serves as a brochure for the firm. It provides disclosures about key information about the company, including its business practices, fees, conflicts of interest, and any discipline that it faced in the past.
The twelve covered asset categories are: exchange-traded equity securities; non-exchange-traded equity securities; US government/agency bonds; US state and local bonds; sovereign bonds (as defined in the Form); investment-grade corporate bonds; non-investment grade corporate bonds; derivatives; securities issued by
Specifically, new Item 5. L will require advisers to disclose whether their advertisements include performance results, specific investment advice, testimonials, endorsements, third-party ratings, and (in a change from the proposed rule) hypothetical performance and predecessor performance.
The Uniform Application for Investment Adviser Registration (or more commonly known as the Form ADV) is used as the official application document to register as an investment advisor firm.
Form ADV contains five parts: ? Part 1A asks a number of questions about you, your business practices, the persons who. own and control you, and the persons who provide investment advice on your behalf. o All advisers registering with the SEC or any of the state securities authorities must complete Part 1A.
The ADV Part 2A contains eighteen (18) disclosure items, each to be included in the investment adviser's Brochure. Each disclosure item is to receive a narrative, plain English response.
Filing Form ADV is mandatory for advisers who are required to register with the SEC and for exempt reporting advisers. The SEC maintains the information submitted on this form and makes it publicly available. The SEC may return forms that do not include required information.