Tue, Aug 30, 2016

SEC Adopts Amendments to Investment Advisers Act Rules

Recently, the SEC adopted amendments to several Investment Advisers Act Rules. Investment advisers will need to comply by October 1, 2017.

Topics Include:

  • Amendments to Form ADV
  • Additional Information Regarding Investment Advisers
  • Umbrella Registration
  • Clarification of Technical Amendments to Form ADV
  • Amendments to the Books and Records Rule

Regarding these rule changes, SEC Chair Mary Jo White said, “Requiring investment advisers to report this additional information will provide investors and the Commission with a better understanding of the risk profile of each adviser and the industry as a whole.”

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