Form ADV discloses an investment advisor’s fees, conflicts, disciplinary history and more. Parts 2 and 3 of the form are geared toward investors and spell out an advisory firm’s offerings in plain ...

The SEC voted unanimously today to adopt change to the investment adviser disclosure document, Form ADV Part 2, provided to clients and prospective clients. Form ADV Part 2 describes an investment ...

On October 26, 2023, the Division of Investment Management of the US Securities and Exchange Commission (the “Division” and the “SEC” or “Commission,” respectively) updated the “Frequently Asked ...

Annual Form ADV amendments are in. For most registered advisers, the brochure is updated, the filing is done, and attention has already moved on. But your disclosure hasn’t stopped being read.

It's been a busy day for the Securities and Exchange Commission. Along with announcing a proposal to ditch 12(b)-1 fees for mutual funds, the agency's commissioners unanimously adopted rules to ...