Final Rule
Technical Amendments to Form ADV and Form ADV-W
Overview
The Securities and Exchange Commission (the "Commission' or "SEC') is making technical amendments to Form ADV under the Investment Advisers Act of 1940 ("Advisers Act') to reflect the enactment of a Wyoming state law regulating investment advisers. Form ADV is the form advisers use to register with the Commission and the state securities regulatory authorities. The Commission is also making similar amendments to Form ADV-W, the form advisers use to withdraw from registration with the Commission or the states.
Details
Rule Type
Final
Release Number
IA-4698
SEC Issue Date
May 4, 2017
Effective Date
July 1, 2017
Federal Register Publish Date
May 9, 2017
Document Citation
82 FR 21472