Amendments to Form Adv (Us Securities and Exchange Commission Regulation) (Sec) (2018 Edition)

By The Law Library

The Law Library presents the complete text of the Amendments to Form ADV (US Securities and Exchange Commission Regulation) (SEC) (2018 Edition).

Updated as of May 29, 2018

The Securities and Exchange Commission is adopting amendments to Part 2 of Form ADV, and related rules under the Investment Advisers Act, to require investment advisers registered with us to provide new and prospective clients with a brochure and brochure supplements written in plain English. These amendments are designed to provide new and prospective advisory clients with clearly written, meaningful, current disclosure of the business practices, conflicts of interest and background of the investment adviser and its advisory personnel. Advisers must file their brochures with us electronically and we will make them available to the public through our Web site. The Commission also is withdrawing the Advisers Act rule requiring advisers to disclose certain disciplinary and financial information.

This ebook contains:

- The complete text of the Amendments to Form ADV (US Securities and Exchange Commission Regulation) (SEC) (2018 Edition)

- A dynamic table of content linking to each section

- A table of contents in introduction presenting a general overview of the structure

• Format: Paperback
• Language: English
• ISBN: 1795324201
• ISBN13: 9781795324205
• Release Date: January 2019
• Publisher: Independently Published
• Length: 90 Pages
• Weight: 0.38 lbs.
• Dimensions: 0.2" x 7.0" x 10.0"