Notice2026-01625
Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Form ADV-H
Primary source
Metadata and text below are from the Federal Register, a public-domain U.S. government work. Always verify the official published version before relying on it for any legal matter.
Published
January 28, 2026
Issuing agencies
Securities and Exchange Commission
Full Text
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<title>Federal Register, Volume 91 Issue 18 (Wednesday, January 28, 2026)</title>
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[Federal Register Volume 91, Number 18 (Wednesday, January 28, 2026)]
[Notices]
[Page 3745]
From the Federal Register Online via the Government Publishing Office [<a href="http://www.gpo.gov">www.gpo.gov</a>]
[FR Doc No: 2026-01625]
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SECURITIES AND EXCHANGE COMMISSION
[OMB Control No. 3235-0538]
Agency Information Collection Activities; Proposed Collection;
Comment Request; Extension: Form ADV-H
Upon Written Request, Copies Available From: Securities and Exchange
Commission, Office of FOIA Services, 100 F Street NE, Washington, DC
20549-2736
Notice is hereby given that, pursuant to the Paperwork Reduction
Act of 1995 (44 U.S.C. 3501 et seq.), the Securities and Exchange
Commission (``Commission'') is soliciting comments on the collection of
information.
The title for the collection of information is ``Form ADV-H under
the Investment Advisers Act of 1940.'' Form ADV-H (17 CFR 279.3) under
the Investment Advisers Act of 1940 (``Advisers Act'') is the
application that investment advisers use to request a hardship
exemption from making Advisers Act filings electronically with the
Investment Adviser Registration Depository (``IARD'').
There are two types of hardship exemptions from making Advisers Act
filings through IARD: a temporary hardship exemption and a continuing
hardship exemption. Advisers Act rule 203-3 (17 CFR 275.203-3) sets
forth requirements for both temporary hardship exemptions and
continuing hardship exemptions for advisers registered or registering
with the Commission. Advisers Act rule 204-4(e) (17 CFR 275.204-4(e))
sets forth requirements for temporary hardship exemptions for exempt
reporting advisers.
A temporary hardship exemption is available to advisers registered
or registering with the Commission, as well as exempt reporting
advisers, if the adviser has unanticipated technical difficulties that
prevent it from submitting a filing to the IARD system. To apply for a
temporary hardship exemption, the adviser must file Form ADV-H in paper
format no later than one business day after the subject filing was due,
and submit the subject filing electronically through IARD no later than
seven business days after the subject filing was due. The temporary
hardship exemption is granted when the adviser files the completed Form
ADV-H.
A continuing hardship exemption provides an exemption from
electronic filing for no more than one year. It is available to certain
advisers registered or registering with the Commission; it is not
available to exempt reporting advisers. Such adviser must be a small
business and be able to demonstrate that the electronic filing
requirements are prohibitively burdensome or expensive. To apply for a
continuing hardship exemption, an adviser must file Form ADV-H at least
ten business days before a filing is due. The Commission will grant or
deny the application within ten business days after the adviser files
Form ADV-H. If the Commission approves the application, the adviser may
submit filings to FINRA in paper format for the period of time for
which the exemption is granted.
The purpose of the collection of information is to enable the
Commission to process requests for temporary hardship exemptions and to
determine whether to grant a continuing hardship exemption from the
requirement for advisers to make Advisers Act filings electronically
through IARD.
Respondents are investment advisers registered or registering with
the Commission, as well as exempt reporting advisers. Based on our
experience and data, we estimate that there are 22,495 respondents,
consisting of 16,404 registered investment advisers and 6,091 exempt
reporting advisers. Of those respondents, we estimate that we would
receive two responses annually, and each response would take
approximately one hour to complete. Therefore, we estimate an annual
aggregate burden of two hours for this collection of information.
The collection of information does not require recordkeeping or
records retention. The collection of information requirements are
mandatory. The information collected is a filing with the Commission,
and is not kept confidential.
An agency may not conduct or sponsor, and a person is not required
to respond to, a collection of information unless it displays a
currently valid OMB Control Number.
Written comments are invited on: (a) whether this proposed
collection of information is necessary for the proper performance of
the functions of the SEC, including whether the information will have
practical utility; (b) the accuracy of the SEC's estimate of the burden
imposed by the proposed collection of information, including the
validity of the methodology and the assumptions used; (c) ways to
enhance the quality, utility, and clarity of the information to be
collected; and (d) ways to minimize the burden of the collection of
information on respondents, including through the use of automated,
electronic collection techniques or other forms of information
technology.
Please direct your written comments on this 60-Day Collection
Notice to Austin Gerig, Director/Chief Data Officer, Securities and
Exchange Commission, c/o Tanya Ruttenberg via email to
<a href="/cdn-cgi/l/email-protection#baeadbcadfc8cdd5c8d1e8dfdecfd9ced3d5d4fbd9cefac9dfd994ddd5cc"><span class="__cf_email__" data-cfemail="a9f9c8d9ccdbdec6dbc2fbcccddccaddc0c6c7e8cadde9daccca87cec6df">[email protected]</span></a> by March 30, 2026. There will be a second
opportunity to comment on this SEC request following the Federal
Register publishing a 30-Day Submission Notice.
Dated: January 23, 2026.
Vanessa A. Countryman,
Secretary.
[FR Doc. 2026-01625 Filed 1-27-26; 8:45 am]
BILLING CODE 8011-01-P
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