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Journal Articles
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2011) 12 (3): 14–25.
Published: 13 September 2011
...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...
