Form 40-202A Files Dataset

Form 40-202A filings contain applications for orders under Section 202(a) of the Investment Advisers Act of 1940. Applicants use this form to request that the SEC declare them not to be an "investment adviser" within the meaning of Section 202(a)(11), typically because their advisory activities are limited to family members or related entities and fall outside the intent of the statute. The dataset includes all Form 40-202A and Form 40-202A/A filings submitted to EDGAR from October 2003 to present. Form 40-202A/A filings represent amendments to previously filed applications. For each accession number, a metadata file and all documents in the original EDGAR submission are included except image files. Each filing typically contains the applicant's name and address, a description of the advisory activities at issue, the legal basis for the requested exclusion, and supporting exhibits or declarations.

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