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What is Form ADV-E used for?

April 26, 2017adv-e form Used

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What is Form ADV-E used for?

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Form ADV-E is the form used by advisers and independent public accountants to file a certificate of accounting, also referred to as a surprise examination report, for advisers that have custody of client funds or securities in order to be in compliance with rule 206(4)-2. For more information, please see the adopting release at http://www.sec.gov/rules/final/2009/ia-2968.pdf and staff responses to the custody rule at http://www.sec.gov/divisions/investment/custody_faq_030510.htm.