76 FR 255
Amendments to Form ADV
Overview
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.
Prior Actions
65 FR 81737
Resources
68 FR 42247
75 FR 49233
73 FR 13957
65 FR 20523
Last Reviewed or Updated: April 7, 2023
Details
Oct. 10, 2000
65 FR 57437