SEC Releases Amendments to Form ADV and Other Investment Adviser Act Rules

In a press release dated August 25, 2016,1 the Securities and Exchange Commission (“SEC”) announced their issuance of a final rule, which amends Form ADV (Uniform Application for Investment Adviser Registration), along with five other rules under the Investment Advisers Act of 1940, as amended (“Advisers Act”).2

Specifically, in addition to the required changes to Form ADV, the SEC made amendments to the following rules:
• Rule 202(a)(11)(G)-1 (Family Offices)
• Rule 203-1 (Application for Registration)
• Rule 204-1 (Amendments to Form ADV)
• Rule 204-2 (Books and Records)
• Rule 204-3 (Delivery of Form ADV)

To read more, click here.

Leave a Reply

Your email address will not be published. Required fields are marked *