The Process of Registration under the Advisers Act

September 14, 2010

Registration with the SEC is a fairly simple process and involves filing with the SEC a disclosure document (Form ADV) containing information about the adviser and its business, owners and affiliates.  The disclosures made in Form ADV must satisfy the adviser’s fiduciary duty to clients to provide full and fair disclosure and are subject to the anti-fraud provisions of the Advisers Act.

Click here for information on the SEC registration process and the recently amended Form ADV.