RIAs who try to file a routine, but required, amendment to their SEC Form ADV will quickly discover it’s no simple task anymore.
On Oct. 1 the SEC stopped accepting any amendments in most instances until firms complete the much more onerous job of filling out its new Form ADV, which includes up to hundreds of new disclosures depending on the size of the firm, says GJ King, president of compliance and software consulting firm RIA in a Box.
Register or login for access to this item and much more
All Financial Planning content is archived after seven days.
Community members receive:
- All recent and archived articles
- Conference offers and updates
- A full menu of enewsletter options
- Web seminars, white papers, ebooks
Already have an account? Log In
Don't have an account? Register for Free Unlimited Access