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SEC RIN: 3235-AI17 Publication ID: Fall 2010 
Title: Amendments to Form ADV 
Abstract: The Commission adopted 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. Advisers will file their brochures with the Commission electronically, and the brochures will 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: Completed Actions 
Major: Yes  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), 80b-ll(a), 80b-3(c)(1)    15 USC 77s(a)    15 USC 78(wa), 78bb(e)(2)    15 USC 77sss(a)    15 USC 78a-37(a)   
Legal Deadline:  None
Timetable:
Action Date FR Cite
NPRM  04/17/2000  65 FR 20524   
NPRM Comment Period End  06/03/2000    
Second NPRM  03/14/2008  73 FR 13958   
Second NPRM Comment Period End  05/16/2008    
Final Action  08/12/2010  75 FR 49234   
Final Action Effective  10/12/2010    
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/final/2010/ia-3060.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