SEC Form 2223 (ADV-E) Certificate of Accounting of Client Securities and Funds in the Possession or Custody of an Investment Adviser

SEC Form 2223 (ADV-E) Certificate of Accounting of Client Securities and Funds in the Possession or Custody of an Investment Adviser

What Is SEC Form 2223 (ADV-E)?

This is a legal form that was released by the U.S. Securities and Exchange Commission on January 1, 2013 and used country-wide. As of today, no separate filing guidelines for the form are provided by the issuing department.

FAQ

Q: What is SEC Form 2223 (ADV-E)?
A: SEC Form 2223 (ADV-E) is a certificate of accounting of client securities and funds in the possession or custody of an investment adviser.

Q: What is the purpose of SEC Form 2223 (ADV-E)?
A: The purpose of SEC Form 2223 (ADV-E) is to provide information about the accounting and custody practices followed by an investment adviser regarding client securities and funds.

Q: Who needs to file SEC Form 2223 (ADV-E)?
A: Investment advisers who have possession or custody of client securities and funds are required to file SEC Form 2223 (ADV-E).

Q: What information is included in SEC Form 2223 (ADV-E)?
A: SEC Form 2223 (ADV-E) includes information about the investment adviser's accounting principles, policies, and procedures related to the safekeeping of client securities and funds.

Q: When is SEC Form 2223 (ADV-E) filed?
A: SEC Form 2223 (ADV-E) is filed annually within 120 days of the end of the investment adviser's fiscal year.

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Form Details:

  • Released on January 1, 2013;
  • The latest available edition released by the U.S. Securities and Exchange Commission;
  • Easy to use and ready to print;
  • Yours to fill out and keep for your records;
  • Compatible with most PDF-viewing applications;

Download a printable version of SEC Form 2223 (ADV-E) by clicking the link below or browse more documents and templates provided by the U.S. Securities and Exchange Commission.

Download SEC Form 2223 (ADV-E) Certificate of Accounting of Client Securities and Funds in the Possession or Custody of an Investment Adviser

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