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Bookmark or Share- SEC.gov | Frequently Asked Questions on Form ADV and IARDQ: Are SEC-registered advisers and SEC Exempt Reporting Advisers required to report arbitration claims in Item 11? A: No. However, state-registered advisers filing Part 1B of Form ADV are required by state law to report arbitration claims and complete a corresponding DRP.
- Private Fund Advisers - SEC.govAdvisers are in the best position to evaluate their control relationships over private fund clients and should be in a position to determine the appropriate steps to satisfy this standard based on their relationship with the private fund and the relevant control person.
- Investment Adviser Marketing - SEC.govThe marketing rule is designed to comprehensively and efficiently regulate advisers’ marketing communications. The Commission also adopted related amendments to Rule 204-2, the books and records rule, and Form ADV, the investment adviser registration form.
- IAPD - Investment Adviser Public Disclosure - HomepageThis file contains information about investment advisers who are registered with the SEC or who are filing reports as Exempt Reporting Advisers with the SEC and is available for download in XML format.
- Regulation Best Interest and the Investment Adviser Fiduciary Duty: Two ...As many of you know, in June, the Securities and Exchange Commission adopted a package of rules and interpretations that will enhance the quality and transparency of retail investors’ relationships with broker-dealers and investment advisers.
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