Investment adviser applicants must electronically file through the IARD Parts 1(A) and 1(B), and new Part 2(A) [the firm brochure], Part 2(A) Appendix 1 [Wrap Fee Program Brochure, if applicable], and Part 2(B) [brochure supplements] of Form ADV, effective immediately.
Investment adviser registrants if they have not already done so must, on or before September 30, 2011, electronically file through the IARD new Part 2(A) [the firm brochure], Part 2(A) Appendix 1 [Wrap Fee Program Brochure, if applicable], and Part 2(B) [brochure supplements] of Form ADV. Registrants need to deliver to their existing clients within 30 days of the filing a copy of new Part 2(A) [the firm brochure], Part 2(A) Appendix 1 [Wrap Fee Program Brochure, if applicable], and Part 2(B) [brochure supplements]of Form ADV.
Please find this administrative order here under "latest updates."
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