Uniform Application for Investment Adviser Registration and Report by Exempt Reporting Advisers

Target entity: Uniform Application for Investment Adviser Registration and Report by Exempt Reporting Advisers
Context triple: [Form ADV, abbreviationFor, Uniform Application for Investment Adviser Registration and Report by Exempt Reporting Advisers]

• A. Investment Adviser Registration Depository
  The Investment Adviser Registration Depository (IARD) is an electronic filing system operated by FINRA that facilitates the registration, filing, and public disclosure of information about investment advisers in the United States.
• B. Investment Advisers Act of 1940
  The Investment Advisers Act of 1940 is a U.S. federal law that regulates investment advisers by imposing registration, fiduciary, disclosure, and anti-fraud obligations to protect investors.
• C. AIM Rules for Nominated Advisers
  AIM Rules for Nominated Advisers are a regulatory framework issued by the London Stock Exchange that sets out the eligibility, responsibilities, and ongoing obligations of nominated advisers overseeing companies listed on the Alternative Investment Market.
• D. Uniform Application for Securities Industry Registration or Transfer
  The Uniform Application for Securities Industry Registration or Transfer (Form U4) is the primary regulatory form used in the United States to register or transfer the registration of individuals working in the securities industry with FINRA and other self-regulatory organizations.
• E. Division of Investment Management of the SEC
  The Division of Investment Management of the SEC is the U.S. Securities and Exchange Commission unit responsible for regulating and overseeing investment companies, investment advisers, and related financial products to protect investors and promote fair, efficient markets.
• F. None of above. chosen
• G. Unsure - the case is ambiguous/there is not enough information to decide.

Target entity: Uniform Application for Investment Adviser Registration and Report by Exempt Reporting Advisers
Target entity description: The Uniform Application for Investment Adviser Registration and Report by Exempt Reporting Advisers is the U.S. Securities and Exchange Commission’s primary disclosure form used by investment advisers and certain exempt reporting advisers to register and report key information about their business, services, and disciplinary history.

• A. Investment Adviser Registration Depository
  The Investment Adviser Registration Depository (IARD) is an electronic filing system operated by FINRA that facilitates the registration, filing, and public disclosure of information about investment advisers in the United States.
• B. Investment Advisers Act of 1940
  The Investment Advisers Act of 1940 is a U.S. federal law that regulates investment advisers by imposing registration, fiduciary, disclosure, and anti-fraud obligations to protect investors.
• C. AIM Rules for Nominated Advisers
  AIM Rules for Nominated Advisers are a regulatory framework issued by the London Stock Exchange that sets out the eligibility, responsibilities, and ongoing obligations of nominated advisers overseeing companies listed on the Alternative Investment Market.
• D. Uniform Application for Securities Industry Registration or Transfer
  The Uniform Application for Securities Industry Registration or Transfer (Form U4) is the primary regulatory form used in the United States to register or transfer the registration of individuals working in the securities industry with FINRA and other self-regulatory organizations.
• E. Division of Investment Management of the SEC
  The Division of Investment Management of the SEC is the U.S. Securities and Exchange Commission unit responsible for regulating and overseeing investment companies, investment advisers, and related financial products to protect investors and promote fair, efficient markets.
• F. None of above. chosen