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
Final Rule (IA-3129)
76 FR 255
Final Rule (IA-1916)
65 FR 81737
Resources
Final Rule (34-48167)
68 FR 42247
Final Rule (IA-3060)
75 FR 49233
Proposed Rule (IA-2711)
73 FR 13957
Proposed Rule (34-42620)
65 FR 20523
Details
Oct. 10, 2000
65 FR 57437