...Nathan J. Greene Purpose To alert investment advisers to changes to be implemented to the Securities and Exchange Commission’s (SEC’s) Form ADV requirements as of October 1, 2017. Form ADV is the SEC’s principal investment adviser registration form. Design/methodology/approach Explains new...

...Nathan J. Greene Purpose – To explain proposed rules and amendments recently issued by the USA Securities and Exchange Commission (SEC) that would impose more detailed reporting requirements for investment advisers that file Form ADV. A companion article describes the SEC’s proposed registered...

...Lorna A. Schnase Purpose The purpose of this paper is to identify and discuss issues impacting Form ADV filings that include new adviser firm brochures and brochure supplements. Design/methodology/approach Issues were identified by reading against relevant SEC form requirements and guidance...