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To Disclose or Not to Disclose – Is a PPP Loan “Material?”

Posted on May 26th, 2020 by Lance Whittemore

PPP loans, which are intended to support company payrolls during the COVID-19 shutdown, have been a source of great debate in the Registered Investment Advisor space.  Are they material?  If my RIA applies for and receives a loan, do we have to disclose it as a material event on our Form ADV Part 2A? The… READ MORE

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Ralph's expertise includes Consolidated Audit Trail (CAT) reporting, clearing conversions, trading, and retail brokerage, and trading and regulatory reporting of equity and fixed income securities.

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