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Articles tagged "ADV Part 2"

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Les Abromovitz suggests that advisors file their ADV forms even if they're not happy with the content: 'You are at least making a good faith effort to be compliant.'

How suitable are your investment strategies? The SEC cares, a lot.

New ADV form heightens attention to the issue

March 30, 2011 at 2:19 PM
Les Abromovitz: The SEC’s observation was surprising.

So you're an RIA. Be careful about calling yourself one, says the SEC

Beware of using the term as focal point for marketing; some states may have competing regulations

October 11, 2010 at 4:41 AM
Les Abromovitz: Your narrative should use the active voice. Words must be definitive and concrete. As always, you should be looking for language that unsophisticated investors can understand.

Now, the SEC wants you to be a writer, too?

ADV Part 2 form calls for clear language, and detailed descriptions even of the people working for you

September 2, 2010 at 4:32 AM
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