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