SEC Extends Compliance Date for Certain Advisers to Provide Clients with Brochure Supplements


The Securities and Exchange Commission has issued a final rule* extending by four months the compliance date for delivery of Part 2B of Form ADV (the brochure supplement).

The extension is intended to provide investment advisers with additional time to implement systems and controls to ensure that each client receives an accurate brochure supplement with respect to the supervised person who provides advice to that client.

The practical effect of the extension is as follows...

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DISCLAIMER: Because of the generality of this update, the information provided herein may not be applicable in all situations and should not be acted upon without specific legal advice based on particular situations.

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