SEC Form ADV Amendments and Investment Adviser Recordkeeping Rules: Compliance Deadline Quickly Approaching

• Published in: The Investment Lawyer Vol. 24; no. 9; p. 21
• Main Authors: Perlow, Mark D, Sherman, Michael L, Schleppegrell, Christine Ayako, O'Neill, Melissa A
• Format: Trade Publication Article
• Language: English
• Published: Englewood Cliffs Aspen Publishers, Inc 01.09.2017
• Subjects: Balance sheets; Borrowing; Compliance; Deadlines; Equity; Federal regulation; Investment advisors; Reporting requirements; SEC regulations; Securities regulations; Social networks; United States > US

[...]advisers will be required to comply with certain recordkeeping requirements related to written communications of performance or securities recommendations to any person. [...]of the reporting required by these form revisions, an adviser may need to report data points from before the compliance...