Skip navigation

Form ADV Part 2

or Register to post new content in the forum



  • Allowed HTML tags: <em> <strong> <blockquote> <br> <p>

Plain text

  • No HTML tags allowed.
  • Web page addresses and e-mail addresses turn into links automatically.
  • Lines and paragraphs break automatically.
Apr 1, 2011 4:05 pm

Some new regulation... Our BD is acting on this right now.

You must disclose all your reportable u4 items, criminal background stuff, etc. That brocuher must be given to all clients you present an advisory account to, where you'd act as an IAR.

Your firm, will be sending it out to all existing clients too as part of the regulation.

I've heard this is making some folks uncomfortable...