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https://www.law.cornell.edu/cfr/text/17/275.204-3
(a) General requirements. If you are registered under the Act as an investment adviser, you must deliver a brochure and one or more brochure supplements to each client or prospective client that contains all information required by Part 2 of Form ADV [17 CFR 279.1]. (b) Delivery requirements.
https://www.sec.gov/about/offices/oia/oia_investman/rplaze-042012.pdf
Regulation of Investment Advisers by the U.S. Securities and Exchange Commission * I. Introduction. Money managers, investment consultants, and financial planners are regulated in the United States as “investment advisers” under the U.S. Investment Advisers Act of …
https://www.investopedia.com/terms/b/brochurerule.asp
Jun 18, 2018 · Brochure Rule: Under the Investment Advisor's Act of 1940, the Brochure Rule requires federally registered investment advisors provide a written …
https://www.spencerfane.com/publication/investment-adviser-covid-19-reporting-and-filing-exemption/
In recognition of the challenges that SEC-registered investment advisers are facing as a result of COVID-19, the Securities and Exchange Commission issued an order on March 13, 2020, (“Original Order”) that provides temporary exemptions from certain reporting and disclosure requirements under the Investment Advisers Act of 1940.
https://www.law360.com/articles/560770/understanding-the-investment-adviser-registration-process
Jul 24, 2014 · Understanding The Investment Adviser Registration Process ... in the case of the brochure, annual) delivery requirements, Rule 204-3(b)(4) requires an adviser to …
https://www.paulhastings.com/docs/default-source/PDFs/802.pdf
Annual Form ADV Requirements for Investment Advisers From the Investment Management practice group OVERVIEW As you know, registered investment advisers are required to update their Form ADVs when certain changes occur; and, in any event, at least annually. This
https://www.sidley.com/-/media/update-pdfs/2018/02/20180227-ifad-update.pdf
Investment advisers registered with the Securities and Exchange Commission (SEC) (each, an RIA) are subject to certain annual requirements under the Investment Advisers Act of 1940 (the Advisers Act); some of these requirements also either apply to exempt reporting advisers (each, an ERA) or warrant consideration as best practices for ERAs.File Size: 495KB
https://norrismclaughlin.com/blb/2020/03/18/coronavirus-covid-19-exemption-for-certain-money-manager-investment-adviser-filing-and-delivery-requirements/
The Order provides similar relief for exempt reporting advisers. This Order gives relief to those SEC-registered investment advisers whose ability to meet their Form ADV filing and/or delivery requirements are affected by the current situation with the coronavirus so long as they meet the conditions in the Order.
https://www.morganlewis.com/alerts/2011/02/~/media/e87b98c6bc794d3fb2e1dd629dc5de11.ashx
Guide To SEC Investment Adviser Registration For Hedge Fund And Private Equity Fund Managers ... requirements applicable to SEC-registered advisers, as well as certain general state ... you may rely on the exemption for advisers solely advising hedge funds and private equity funds if: (i) all of your U.S. ...
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