Today, the SEC announced the adoption of amendments to several rules under the Investment Advisers Act of 1940 and to Form ADV, the investment adviser registration and reporting form.
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Leap Year Impacting Regulatory Filing Dates for Investment Advisers
By Richard M. Cutshall on
Posted in Regulatory Compliance
As a reminder, Rule 204-1 under the Investment Advisers Act of 1940 requires that all investment advisers amend their Form ADV filing at least annually, and do so within 90…
Continue Reading Leap Year Impacting Regulatory Filing Dates for Investment Advisers