Form ADV and Form PF Relief: Understanding the SEC’s Exemptive Order

The SEC provided an exemptive order this week in response to the COVID-19 event.  In limited circumstances, Investment Advisors and Exempt Reporting Advisors will have an additional 45 days from the original deadline to complete and submit their annual filings or material changes. Procrastinators need to understand that there are specific circumstances requirements to meet… READ MORE

Your Form ADV – Beyond Checking the Box

Additionally, Reg BI requires that firms file Form CRS.  The SEC has said that to answer some parts of Form CRS, you may link to other places where the relevant information resides, and a lot of that information is already in your ADV part 2A brochure.  Even if you don’t take advantage of your new… READ MORE

Form ADV Changes Are Around the Corner – Are You Ready?

Last August the U.S. Securities and Exchange Commission (“SEC”) issued a final rule expanding the information required on Form ADV.  All investment advisers making Form ADV filings as of October 1, 2017 will need to include the applicable additional information.   The following is a guideline for the new information required on Form ADV Part 1:… READ MORE