Regulatory Alerts2015-07-02 | C1-2015-12778Added · Updated
Securities and Exchange Commission: Amendments to Form ADV and Investment Advisers Act Rules
The Securities and Exchange Commission issued a correction to its proposed rule document regarding amendments to Form ADV and Investment Advisers Act Rules. The correction updates footnote 92 to clarify the definition of Legal Entity Identifier and revises the text of the proposed forms. These changes ensure accurate regulatory guidance for investment advisers registering with the SEC or state securities authorities.
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