Add Yahoo as a preferred source to see more of our stories on Google. Would you want to know if your financial advisor was a criminal? What about if they'd ripped off another client? Or if they've ...

On October 26, 2023, the Division of Investment Management of the US Securities and Exchange Commission (the “Division” and the “SEC” or “Commission,” respectively) updated the “Frequently Asked ...

On March 13, 2020, the Securities and Exchange Commission (“SEC”) issued an exemptive order providing temporary relief from Form ADV and Form PF filing obligations applicable to registered investment ...

The “Form ADV Part 2 Brochure Template” will help investment advisers with the new required format based on the recent Securities and Exchange (SEC) rule update. Created by The Consortium, a company ...

Form ADV is meant to provide investors and regulators a reasonably accurate, up-to-date description of a firm. It doesn’t always work out that way. For many financial advisors, the document remains a ...

Investopedia contributors come from a range of backgrounds, and over 25 years there have been thousands of expert writers and editors who have contributed. Marguerita is a Certified Financial Planner ...

When it comes to financial advisors filing information with federal regulators, the question is: How much information is too much? Large advisors — many of whom have robust information technology ...

We collaborate with the world's leading lawyers to deliver news tailored for you. Sign Up for any (or all) of our 25+ Newsletters. Some states have laws and ethical rules regarding solicitation and ...

If you haven't encountered the new Form ADV yet, be prepared to make its acquaintance in the next two months. To make sure the meeting doesn't become contentious, some guidance may be in order.

Form ADV Is About to Change -- Are You Ready? An updated form for registering with regulators might seem like a straightforward matter. But advisors who don’t prepare for it could get caught off guard ...

And there were many last year. Fines in the tens of thousands were ordered for infractions that ran the gamut from negligible to outright misrepresentation. Some firms misstated assets under ...

Would you want to know if your financial advisor was a criminal? What about if they’d ripped off another client? Or if they’ve been incentivized to sell you products that aren’t in your best interest?