On February 15, 2023, the U.S. Securities and Exchange Commission (SEC) proposed to exercise its authority by amending and re-designating Rule 206(4)-2 under the Investment Advisers Act of 1940 (the Custody Rule)....more
3/23/2023
/ Asset Management ,
Comment Period ,
Custody Rule ,
Financial Services Industry ,
Form ADV ,
Investment Advisers Act of 1940 ,
Proposed Rules ,
Registered Investment Advisors ,
Regulatory Agenda ,
Securities and Exchange Commission (SEC) ,
Securities Regulation
On December 22, 2020, the SEC created a new merged rule (Marketing Rule) that replaces two rules under the Advisers Act, rule 206(4)-1 (Marketing Rule), originally adopted in 1961, and rule 206(4)-3 (Solicitation Rule),...more
Due to the outbreak of COVID-19 and its current and potential effects, the Securities and Exchange Commission (SEC) issued an order on Friday, March 13 that grants conditional relief to investment advisers in their delivery...more
Proposals made by the Securities and Exchange Commission (SEC) in 2015 to amend Form ADV and certain rules under the Investment Advisers Act of 1940 (Advisers Act) (SEC Proposes Significant Reporting Requirement Amendments to...more
9/29/2016
/ Books & Records ,
Derivatives ,
Disclosure Requirements ,
Filing Requirements ,
Financial Institutions ,
Financial Markets ,
Form ADV ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
RAUM ,
Recordkeeping Requirements ,
Required Forms ,
Securities ,
Securities and Exchange Commission (SEC) ,
SMAs ,
Umbrella Registration
On May 20, 2015, the Securities and Exchange Commission (SEC) released several proposals, "Amendments to Form ADV and Investment Advisers Act Rules," that would require investment advisers to provide additional information on...more