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FINRA provides information about the IARD and electronic filing on the IARD website: <iard.com>. 2. What is Form ADV used for? Investment advisers Follow the step-by-step instructions below to e-sign your form adv part 1 b fillable: Select the document you want to sign and click Upload. Investment advisers Form ADV. The following forms, unless noted otherwise, are PDF documents, which require Adobe Acrobat or comparable software, to open. Instructions and FORM ADV-E. Certificate of Accounting of Client Securities and Funds in the Possession or Custody of an Investment Adviser. There are also changes to certain instructions and the definitions of terms Where can I get more information on completing Form ADV, electronic filingThe Form ADV-E filing and the surprise examination report On the Form ADV-E Instructions page, links to the SEC and IARD Web sites display, (2) Part 3 at the frequency required by the instructions to Form ADV. (b) Electronic filing of amendments. (1) Subject to paragraph (c) of this section, See SEC rule 204-3(e) and similar state rules. If you prepare separate brochures you must file each brochure (and any amendments) through the IARD system as secure link to the Form ADV-E Surprise Examination Filing Website along with instructions for uploading a surprise examination report or a termination

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