Advisers Can Still Request Electronic Filing Waivers
Published Date: 1/28/2026
Notice
Summary
The SEC is asking for comments to keep using Form ADV-H, which helps investment advisers ask for a break from filing paperwork online if they face tech troubles or big costs. This affects advisers who might need extra time or relief from electronic filing rules. No big changes or fees are coming, but advisers should know when and how to apply to avoid penalties.
Analyzed Economic Effects
2 provisions identified: 2 benefits, 0 costs, 0 mixed.
Continuing Hardship Exemption Option
If you are a small investment adviser registered or registering with the SEC (exempt reporting advisers are not eligible), you can apply for a continuing hardship exemption that lasts no more than one year if you can show electronic filing is prohibitively burdensome or expensive. To apply, 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 you file, and if approved you may submit filings to FINRA in paper format for the approved period up to one year.
Temporary Hardship Filing Relief
If you are an investment adviser registered or registering with the SEC, or an exempt reporting adviser, you can request a temporary hardship exemption when unanticipated technical problems stop you from filing through IARD. To get the exemption you must file Form ADV-H in paper no later than one business day after the subject filing was due, and you must submit the subject filing electronically through IARD no later than seven business days after it was due; the temporary hardship exemption is granted when you file the completed Form ADV-H.
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