Form ADV-H under the Investment Advisers Act of 1940

Forms and Documents

Forms and supporting documents for this ICR

Document	Type	Status	Availability
Form SEC-2566 ADV-H	Form	Modified	Available
3235-0538_30-Day Submission Notice.pdf.pdf	Supplementary Document	Uploaded 2026-04-13	Available
Supporting Statement_Form ADV-H.pdf	Supporting Statement A	Uploaded 2026-04-08	Available
20260128_3235-0538_2026-01625_91 FR 3745_60-Day Collection Notice.pdf	Supplementary Document	Uploaded 2026-01-28	Available

IC Document Collections

Information collection document groups

IC ID	Collection	Type	Status	Form
35351	Form ADV-H	Form	Modified	ADV-H

ICR Details

OMB Control No: 3235-0538	ICR Reference No: 202601-3235-013
Status: Received in OIRA	Previous ICR Reference No: 202302-3235-020
Agency/Subagency: SEC	Agency Tracking No: IM
Title: Form ADV-H under the Investment Advisers Act of 1940
Type of Information Collection: Extension without change of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular	Date Submitted to OIRA: 04/13/2026

table that charts list comparision

	Requested	Previously Approved
Expiration Date	36 Months From Approved	07/31/2026
Responses	2	1
Time Burden (Hours)	2	1
Cost Burden (Dollars)	0	0

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Abstract: Form ADV-H (17 CFR 279.3) under the Investment Advisers Act of 1940 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. The purpose of Form ADV-H’s reporting requirements is to enable the Commission to process temporary hardship exemption requests from an adviser that is experiencing unanticipated technical difficulties that prevent it from submitting its Advisers Act filings to the IARD system and to determine whether to grant a continuing hardship exemption by providing information that shows the adviser qualifies as a small business and explains why the electronic filing requirements are prohibitively burdensome or expensive for the adviser.

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Authorizing Statute(s): US Code: 15 USC 80b Name of Law: Investment Advisers Act of 1940
  

Citations for New Statutory Requirements: None

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Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
	Not associated with rulemaking

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Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	91 FR 3745	01/28/2026
30-day Notice:	Federal Register Citation:	Citation Date:
	91 FR 18935	04/13/2026
Did the Agency receive public comments on this ICR? No

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Number of Information Collection (IC) in this ICR: 1

table that charts list of burden

IC Title	Form No.	Form Name
Form ADV-H	SEC-2566	ADV-H

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ICR Summary of Burden

table that charts list of burden

	Total Request	Previously Approved	Change Due to New Statute	Change Due to Agency Discretion	Change Due to Adjustment in Estimate	Change Due to Potential Violation of the PRA
Annual Number of Responses	2	1	0	0	1	0
Annual Time Burden (Hours)	2	1	0	0	1	0
Annual Cost Burden (Dollars)	0	0	0	0	0	0

Burden increases because of Program Change due to Agency Discretion: No

Burden Increase Due to:

Burden decreases because of Program Change due to Agency Discretion: No

Burden Reduction Due to:

Short Statement: The annual aggregate estimate of 22,495 respondents represents an increase of 1,569 respondents from the previously approved estimate of 20,926 respondents. The annual aggregate estimate of 2 response represents an increase of 1 response from the previously approved estimate of 1 response. The annual aggregate estimated time burden of two hours represents an increase of 1 hour from the previously approved estimate of 1 hour. The changes are due to using updated data. The annual aggregate estimated cost burden of $0 has not changed from the previously approved estimate. The number of hours per response has not changed since the last estimate.

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Annual Cost to Federal Government:

Does this IC contain surveys, censuses, or employ statistical methods? No

Does this ICR request any personally identifiable information (see OMB Circular No. A-130 for an explanation of this term)? Please consult with your agency's privacy program when making this determination.     No

Does this ICR include a form that requires a Privacy Act Statement (see 5 U.S.C. §552a(e)(3))? Please consult with your agency's privacy program when making this determination.     No

Is this ICR related to the Affordable Care Act [Pub. L. 111-148 & 111-152]? No

Is this ICR related to the Dodd-Frank Wall Street Reform and Consumer Protection Act, [Pub. L. 111-203]? No

Is this ICR related to the American Recovery and Reinvestment Act of 2009 (ARRA)? No

Is this ICR related to the Pandemic Response? No

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Common Form ICR:  No

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On behalf of this Federal agency, I certify that the collection of information encompassed by this request complies with 5 CFR 1320.9 and the related provisions of 5 CFR 1320.8(b)(3).

The following is a summary of the topics, regarding the proposed collection of information, that the certification covers:

(a) It is necessary for the proper performance of agency functions;

(b) It avoids unnecessary duplication;

(c) It reduces burden on small entities;

(d) It uses plain, coherent, and unambiguous language that is understandable to respondents;

(e) Its implementation will be consistent and compatible with current reporting and recordkeeping practices;

(f) It indicates the retention periods for recordkeeping requirements;

(g) It informs respondents of the information called for under 5 CFR 1320.8 (b)(3) about:

(i) Why the information is being collected;

(ii) Use of information;

(iii) Burden estimate;

(iv) Nature of response (voluntary, required for a benefit, or mandatory);

(v) Nature and extent of confidentiality; and

(vi) Need to display currently valid OMB control number;

(h) It was developed by an office that has planned and allocated resources for the efficient and effective management and use of the information to be collected.

(i) It uses effective and efficient statistical survey methodology (if applicable); and

(j) It makes appropriate use of information technology.

If you are unable to certify compliance with any of these provisions, identify the item by leaving the box unchecked and explain the reason in the Supporting Statement.

Certification Date: 04/13/2026

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