SEC – Form ADV Extension and Request for Public Comment

August 24, 2020 – The SEC has submitted to the Office of Management and Budget a request for extension of the previously approved collection of information “Form ADV under the Investment Advisers Act of 1940.”

Form ADV is a three-part investment adviser registration form. Part 1 of Form ADV contains information used primarily by the SEC staff and Part 2 is the client brochure. Part 3 requires registered investment advisers that offer services to retail investors to prepare and file with the SEC, post to the adviser’s website (if it has one), and deliver to retail investors a relationship summary.

The SEC uses the information on Form ADV to determine eligibility for registration and to manage regulatory / examination programs.

Clients use the information required in Form ADV to determine whether to hire or retain an investment adviser, as well as what types of accounts and services are appropriate for their needs.

Currently under 30-day Review—Open for Public Comments.

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