Regulatory Alerts2017-05-09 | 2017-09331Added · Updated
Technical Amendments to Form ADV and Form ADV-W
The Securities and Exchange Commission issued technical amendments to Form ADV and Form ADV-W to reflect the enactment of the Wyoming Uniform Securities Act regulating investment advisers. These changes update registration forms by removing Wyoming as a basis for SEC registration and adding Wyoming checkboxes for state notice filings and withdrawals. The amendments ensure that investment advisers with principal offices in Wyoming transition to state oversight in accordance with federal jurisdictional thresholds effective July 1, 2017.
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