Electronic Submission of Applications for Orders Under the Advisers Act and the Investment Company Act, Confidential Treatment Requests for Filings on Form 13F, and Form ADV-NR; Amendments to Form 13F

摘要

The Securities and Exchange Commission ("Commission" or "SEC") is adopting amendments to rules to convert the filing of certain applications, confidential treatment requests, and forms from paper to electronic submission. Specifically, we are amending our rules to require that the following types of filings be submitted via our Electronic Data Gathering, Analysis, and Retrieval ("EDGAR") system: applications for orders under any section of the Investment Advisers Act of 1940 ("Advisers Act") and confidential treatment requests for filings made under section 13(f) of the Securities Exchange Act of 1934 ("Exchange Act"). We also are adopting rule amendments to harmonize the requirements for the submission of applications for orders under the Advisers Act and the Investment Company Act of 1940 ("Investment Company Act"). In addition, we are amending other rules and a form to require the electronic submission of Form ADV-NR through the Investment Adviser Registration Depository ("IARD") system. We also are adopting requirements for non-resident general partners and non-resident managing agents to amend their Form ADV-NR within 30 days whenever any information contained in the form beco