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SEC | RIN: 3235-AI17 | Publication ID: Fall 2008 |
Title: Amendments to Form ADV | |
Abstract: The Commission proposed amendments to Form ADV part 2 to require registered investment advisers to deliver to clients and prospective clients a brochure written in plain English. The amendments are designed to require advisers to provide clients and prospective clients with clear, current, and more meaningful disclosure of the business practices, conflicts of interest, and background of investment advisers and their advisory personnel. Under the proposal, advisers would file their brochures with the Commission electronically, and the brochures would be available to the public through the Commission's Web site. | |
Agency: Securities and Exchange Commission(SEC) | Priority: Substantive, Nonsignificant |
RIN Status: Previously published in the Unified Agenda | Agenda Stage of Rulemaking: Final Rule Stage |
Major: Undetermined | Unfunded Mandates: No |
CFR Citation: 17 CFR 275.204-2 17 CFR 275.204-3 17 CFR 275.206(4)-4 17 CFR 279.1 | |
Legal Authority: 15 USC 80b-4, 80b-6(4), 80bll(a), 80b-3(c)(1) 15 USC 77s(a) 15 USC 78(a), 78bbb(e)(2) 15 USC 77sss(a) 15 USC 78(s)-37(a) |
Legal Deadline:
None |
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Timetable:
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Regulatory Flexibility Analysis Required: Yes | Government Levels Affected: None |
Small Entities Affected: Businesses | Federalism: No |
Included in the Regulatory Plan: No | |
RIN Information URL: www.sec.gov/rules/proposed/2008/ia-2711.pdf | |
RIN Data Printed in the FR: Yes | |
Related RINs: Related to 3235-AD21 | |
Agency Contact: Vivien Liu Division of Investment Management Securities and Exchange Commission 100 F Street NE, Washington, DC 20549 Phone:202 551-6728 Email: liuy@sec.gov |