Form ADV-H under the Investment Advisers Act of 1940

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.

The latest form for Form ADV-H under the Investment Advisers Act of 1940 expires 2029-06-30 and can be found here.