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SEC RIN: 3235-AL75 Publication ID: Fall 2016 
Title: Form ADV and Investment Advisers Act Rules 
Abstract:

The Commission adopted amendments to Form ADV that are designed to provide additional information regarding advisers, including information about their separately managed account business; incorporate a method for private fund adviser entities operating a single advisory business to register using a single Form ADV; and make clarifying, technical and other amendments to certain Form ADV items and instructions. The Commission also adopted amendments to the Investment Advisers Act books and records rule and technical amendments to several Investment Advisers Act rules to remove transition provisions that are no longer necessary.

 
Agency: Securities and Exchange Commission(SEC)  Priority: Substantive, Nonsignificant 
RIN Status: Previously published in the Unified Agenda Agenda Stage of Rulemaking: Completed Actions 
Major: No  Unfunded Mandates: No 
CFR Citation: 17 CFR 275.202(a)(ii)(G)-1    17 CFR 275.203.1    17 CFR 275.204.1    17 CFR 275.404-2    17 CFR 279.1   
Legal Authority: 15 U.S.C. 77s(a)    15 U.S.C. 77sss(a)    15 U.S.C. 78bb(e)(2)    15 U.S.C. 78w(a)    15 U.S.C. 80a-37(a)    15 U.S.C. 80b-3(c)(1)   
Legal Deadline:  None
Timetable:
Action Date FR Cite
NPRM  06/12/2015  80 FR 33718   
NPRM Comment Period End  08/11/2015 
Final Action  09/01/2016  81 FR 60418   
Final Action Effective  10/31/2016 
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/2016/ia-4509.pdf  
RIN Data Printed in the FR: Yes 
Agency Contact:
Sara Cortes
Division of Investment Management
Securities and Exchange Commission
100 F Street NE,
Washington, DC 20549
Phone:202 551-5137
Email: cortess@sec.gov