TAILIEUCHUNG - Investment Adviser Registration And Notice Filing Instructions And Investment Adviser Representative Registration Instructions

The controversy regarding the reasons the size and value effects have often produced high returns is important in judging the sustainability of the large returns generated by FI and similar strategies. Suppose the size and value effect are, in fact simply the reward for accepting higher risk. Larger returns for accepting higher risk should be sustainable in the long run. Risk deserves a reward even in the most highly efficient markets. But if the value and size effects are inefficiencies, resulting from the suboptimal behavior of investors, why should they persist? Even those who. | STATE OF TENNESSEE DEPARTMENT OF COMMERCE AND INSURANCE SECURITIES DIVISION SUITE 680 500 JAMES ROBERTSON PARKWAY NAShViLLE TENNESSEE 37243-0575 615-741-2947 INVESTMENT ADVISER REGISTRATION AND NOTICE filing instructions AND INVESTMENT ADVISER REPRESENTATIVE REGISTRATION INSTRUCTIONS Revised April 2011 I. REGISTRATION OF INVESTMENT ADVISERS A. IARD Eligible Investment Advisers 1. Submit a completed Form ADV a. Submit Form ADV Parts 1A and 1B through the IARD. b. Submit Form ADV Parts 2A and 2B through the IARD as attachments to Part 1. Part 2 must be submitted in text-searchable PDF format. c. Forms ADV and ADV-W can be obtained from the Securities and Exchange Commission by calling 202-942-4046 or from the SEC s website at about forms . The forms are also available on the Division s website at commerce securities . 2. Submit the registration fee through the IARD from the IARD daily account . The registration fee is neither refundable nor prorated. 3. Organizational Documents Submit the following documents only those that are applicable directly to the Division. a. Corporation 1 Submit a copy of the Articles of Incorporation Charter and all amendments certified by the Secretary of State for the state of incorporation. 2 Submit a copy of the Corporate Bylaws and all amendments certified by the secretary of the corporation. b. Limited Liability Company 1 Submit a copy of the Articles of Organization Charter and all amendments certified by the Secretary of State for the state of organization. 1 2 Submit a copy of the Operating Agreement and all amendments certified by a managing member of the company. If by law in the state of organization the applicant is not required to establish and maintain a written Operating Agreement please explain so citing specific laws and or rules in writing. c. General Partnership Submit a copy of the General Partnership Agreement and all amendments certified by a general partner. .

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