Category Archives: ADV Part 2
For registered investment advisors, 2011 gave way to many changes as various provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank Act”) became effective. Understanding the changes made over this past year may help to confirm that your investment advisor is in compliance with the recent regulatory changes. Below is a brief [...]
Posted by Bryan Hill
Thursday, October 27, 2011
If your investment advisor has filed the new Form ADV Part 2A, you can breathe a brief sigh of relief. However, now it is time to focus on the new delivery requirements. If your investment advisor is registered with the U.S. Securities and Exchange Commission (“SEC”) and filed the new Form ADV Part 2A, your [...]
For many investment advisors, the deadline for preparing and submitting the new Form ADV Part 2 is just days away. The new Form ADV Part 2 adopted by the U.S. Securities and Exchange Commission (“SEC”) became effective in October 2010. Each investment advisor currently registered with the SEC is required to file a new Form [...]
Posted by Bryan Hill
Wednesday, March 23, 2011
Although the U.S. Securities and Exchange Commission (SEC) and most state securities regulators are already requiring the use of the new Form ADV Part 2 as part the application process for new investment advisors, the Colorado Division of Securities recently released a public notice stating that as of April 1, 2011 all new investment adviser [...]
The Securities Bureau of the Nebraska Department of Banking and Finance recently released an annual renewal notice reminding investment advisers registered with the State of Nebraska that their investment adviser registration expires on December 31, 2010. The notice by the Nebraska Securities Bureau states that in order to renew registration by January 1, 2011, all [...]
Posted by Bryan Hill
Wednesday, November 3, 2010
The United States Securities and Exchange Commission (“SEC”) recently adopted the long-awaited amendments to Part 2 of Form ADV and related rules under the Investment Advisers Act of 1940. The Form ADV Part 2 amendments will require all investment advisors registered with the SEC to prepare and file plain English narrative brochures and supplements. SEC [...]
Today, the United States Securities and Exchange Commission (“SEC”) passed long-proposed changes to the disclosure statements that federally registered investment advisers provide regulators and clients. Originally, the SEC proposed changes to Form ADV Part 2 in 2000. That proposal was never adopted, but a second proposal was issued in 2008 and finally passed today. Under [...]
During the keynote address at the Compliance and Legal Society of the Securities Industry and Financial Markets Association 2010 Annual Seminar on May 6, 2010 (click here to read the entire speech), Mary Shapiro, the Chairman of the U.S. Securities and Exchange Commission (“SEC”), stated that her staff is preparing to present to the full [...]
In a speech at the Investment Adviser Association Annual Conference on April 29, 2010 (click here to read the entire speech), Luis Aguilar, Commissioner at the United States Securities and Exchange Commission (SEC), stated the SEC is expected to soon revisit proposed changes to Form ADV Part II. According to Commissioner Aguilar, “the need to update [...]
According to the Investment Adviser Association (IAA), the U.S. Securities and Exchange Commission (SEC) recently sent a letter to IAA Executive Director David Tittsworth. The letter, signed by SEC Chairman Christopher Cox, stated that the “tentative schedule for consideration of final amendments to Form ADV, Part 2 is early December 2008.” The letter went on [...]
Posted by Bryan Hill
Wednesday, November 5, 2008
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