Notice2026-07081
Agency Information Collection Activities; Submission for OMB Review; 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
April 13, 2026
Issuing agencies
Securities and Exchange Commission
Full Text
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<title>Federal Register, Volume 91 Issue 70 (Monday, April 13, 2026)</title>
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[Federal Register Volume 91, Number 70 (Monday, April 13, 2026)]
[Notices]
[Pages 18935-18936]
From the Federal Register Online via the Government Publishing Office [<a href="http://www.gpo.gov">www.gpo.gov</a>]
[FR Doc No: 2026-07081]
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SECURITIES AND EXCHANGE COMMISSION
[OMB Control No. 3235-0538]
Agency Information Collection Activities; Submission for OMB
Review; 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
[[Page 18936]]
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.
The public may view and comment on this information collection
request at: <a href="https://www.reginfo.gov/public/do/PRAViewICR?ref_nbr=202601-3235-013">https://www.reginfo.gov/public/do/PRAViewICR?ref_nbr=202601-3235-013</a> or email comment to
<a href="/cdn-cgi/l/email-protection#f4b9b6acdabbb9b6dabbbda6b5daa7b1b7ab9091879fab9b92929d979186b49b9996da919b84da939b82"><span class="__cf_email__" data-cfemail="3e737c661071737c1071776c7f106d7b7d615a5b4d5561515858575d5b4c7e51535c105b514e10595148">[email protected]</span></a> within 30 days of the day
after publication of this notice, by May 14, 2026.
Dated: April 9, 2026.
Sherry R. Haywood,
Assistant Secretary.
[FR Doc. 2026-07081 Filed 4-10-26; 8:45 am]
BILLING CODE 8011-01-P
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</html>Indexed from Federal Register on April 13, 2026.
This is legal information, not legal advice. Laws vary by jurisdiction and change frequently. Always verify current law with official sources and consult a licensed attorney in your jurisdiction for advice on your specific situation.