8/30/2010
You're probably debating the idea now: Should we produce the new narrative brochure in-house or hire an outsider? If you want to outsource the task, check out what some consultants say.If the RIA has "done things properly, we should have a pretty good idea of how the company operates" by reading its ...
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8/30/2010
This story begins a series in which we'll pass on expert guidance to help you comply with the SEC's new requirement for a narrative brochure (IA Watch, Aug. 2, 2010), including a look at the toughest challenges along with suggested solutions.One challenge will be satisfying the intent: providing mor ...
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08/26/2010
An overview of the new Form ADV rule from the SEC. This includes a good comparison between the existing Form ADV, Part 2 and the 2011 version. This is posted with permission of the Paul Hastings law firm.
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08/24/2010
This is an interactive PDF document that you could use to build your Form ADV, Part 2 brochure supplements. This is a tool created by Cynthia Custer, senior industry consultant at Mainstay Capital Markets Consultants in Atlanta, to help her firm create brochure supplements for her clients. We thank Cynthia for sharing this with you.
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8/9/2010
A compliance officer in Pennsylvania summarizes the conundrum - ah, let's make that, problem - with the SEC's demand that advisers create a plain-English Form ADV Part 2 brochure: It's a disclosure business."You tend to over-disclose, which means you're no longer plain English because you're trying ...
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8/9/2010
Now that the clock ticks toward a deadline to comply with the SEC's Form ADV revisions, the words of a CCO in Baltimore may sound like your own."Where do you find time?" she asks, as she reflects on a year that has wrought a custody rule revision, a pay-to-play rule, a quick response to the SEC's pe ...
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8/2/2010
Your 2011 update to your firm's Form ADV will include a plain-English brochure describing your firm, along with brochure supplements for clients to know more about their reps, according to the final rule amending Form ADV, which the SEC released last week.The final rule directs firms to write "a nar ...
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07/29/2010
The final rule, released by the SEC in July 2010, for Form ADV amendments, including calling for a plain-English brochure for Form ADV Part 2.
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7/26/2010
In action that has been a decade in the making, SEC commissioners Wednesday voted unanimously to require registered investment advisers to create a narrative, plain-English Form ADV Part 2 brochure. The compliance deadline will be tied to a firm's fiscal year, so most advisers will have until next A ...
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7/19/2010
This week shapes up as a big one for RIAs as the Commission is set July 21 to consider a final rule that would force firms to create a plain-English brochure version of Form ADV, Part 2, plus a proposal to amend the treatment of 12b-1 fees.The North American Securities Administrators Association say ...
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