{"id":"AGY-FED-FINANCIAL-058","kind":"order","level":"federal","jurisdiction":"United States; Securities and Exchange Commission (federal)","state":"","metro":"","industry":"","agency":"FED-FINANCIAL","eco":"","issuer":"Securities and Exchange Commission","authority":"15 U.S.C. § 80b-6a","instrument":"Investment Advisers Act Release No. 5469, Order Under Section 206A of the Investment Advisers Act of 1940 Granting Exemptions from Specified Provisions of the Investment Advisers Act and Certain Rules Thereunder","title":"Order Under Section 206A of the Investment Advisers Act Granting Exemptions from Specified Provisions and Certain Rules Thereunder","dateIssued":"2020-03-25","effective":"2020-03-13 (from the date of the Original Order)","end":"Obligations due on or before 2020-06-30 (filing or delivery within 45 days after the original due date)","startDate":"2020-03-13","endDate":"2020-06-30","quarters":["2020Q2","2020Q3"],"types":["OTHER","TELE"],"addressees":["registered investment advisers","exempt reporting advisers"],"clause":"II. FORM ADV AND FORM PF FILING REQUIREMENTS FOR REGISTERED [INVESTMENT ADVISERS AND EXEMPT REPORTING ADVISERS]... It is ORDERED, pursuant to Section 206A of the Advisers Act: [that a registered investment adviser is exempt from the requirements] (a) under Rule 204-1 to file an amendment to Form ADV; and (b) under Rule 204-3(b)(2) and (b)(4) related to the delivery of Form ADV Part 2 (or a summary of material changes) to existing clients, [where the adviser is unable to meet a deadline due to circumstances related to current or potential effects of COVID-19 and files or delivers as soon as practicable but not later than 45 days after the original due date].","enforcement":"Conditional exemption from 15 U.S.C. § 80b-4","functions":["WM advisory compliance and client communications","OP","CB clients"],"notes":"Second-quarter 2020 condition on every adviser\u0027s compliance calendar","sourceUrl":"https://www.sec.gov/files/rules/other/2020/ia-5469.pdf","snapshot":"","fileExists":true,"fileBytes":161127,"grade":"primary","character":"","description":"","collection":"AGY-FED-FINANCIAL","url":"/library/AGY-FED-FINANCIAL-058","exhibitUrl":"/exhibit/AGY-FED-FINANCIAL-058","citation":"Securities and Exchange Commission, Investment Advisers Act Release No. 5469, Order Under Section 206A of the Investment Advisers Act of 1940 Granting Exemptions from Specified Provisions of the Investment Advisers Act and Certain Rules Thereunder (Mar. 25, 2020) (Ex. AGY-FED-FINANCIAL-058)","stateName":"","related":["AGY-FED-FINANCIAL-051","AGY-FED-FINANCIAL-052","AGY-FED-FINANCIAL-057","AGY-FED-FINANCIAL-064","AGY-FED-FINANCIAL-054","AGY-FED-FINANCIAL-050","AGY-FED-FINANCIAL-055","AGY-FED-FINANCIAL-056","AGY-FED-FINANCIAL-059","AGY-FED-FINANCIAL-060","AGY-FED-FINANCIAL-061","AGY-FED-FINANCIAL-062"]}