Form 40-203A Files Dataset

Form 40-203A filings are applications for an exemption from the prohibition on Commission registration under Section 203A of the Investment Advisers Act of 1940. The form is submitted by investment advisers seeking an individual exemptive order permitting registration with the SEC despite not meeting the statutory assets-under-management threshold or other eligibility criteria established by Section 203A and Rule 203A-2. The dataset includes all Form 40-203A and Form 40-203A/A filings submitted to EDGAR from July 2003 to present. Form 40-203A/A filings represent amendments to previously submitted applications. For each accession number, a metadata file and all documents in the original EDGAR submission are included except image files; filings in this category are paper submissions recorded on EDGAR through auto-generated placeholder documents. Each filing typically contains identification of the applicant investment adviser, the SEC file number assigned under the 803- series, the date of submission, and a reference to the paper application for exemptive relief filed with the Commission, with substantive application materials maintained in the Commission's paper records.

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