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Corporate & Securities Law

: Jim Hamilton's World of Securities Regulation

Ohio Sets Forth Policy on IAs Filing New Part 2 of Form ADV

By Jim Hamilton

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Investment adviser initial applicants and currently licensed investment advisers filing Form ADV may, between October 12 and December 31, 2010, use either old Part II or new Part 2 of Form ADV. Beginning January 1, 2011, investment adviser initial applicants must file new Part 2A of Form ADV electronically through the IARD, and currently licensed investment advisers must incorporate new Part 2 with their next amended filing of Form ADV. Starting April 1, 2011, all Ohio licensed investment advisers must have converted their existing Part II to new Part 2; additional time to comply will not be granted and failure to comply by April 1, 2011 will subject investment advisers to enforcement action. Investment advisers are encouraged to become familiar with the new Brochure and Brochure Supplement distribution and delivery schedules as provided in the Instructions to new Part 2. NOTE: Ohio will not charge a fee for updating or amending Part 2 of Form ADV.

Please see http://www.com.ohio.gov/secu

Full post as published by Jim Hamilton's World of Securities Regulation on November 22, 2010 (boomark / email).