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Corporate & Securities Law

: Jim Hamilton's World of Securities Regulation

Pennsylvania Sets Time-Table for Filing New Part 2 of Form ADV

By Jim Hamilton

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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 at http://www.psc.state.pa.us/ under "latest updates."

Full post as published by Jim Hamilton's World of Securities Regulation on March 01, 2011 (boomark / email).