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SEC: Key Trigger Dates

The SEC has recently updated its Q&A on Part 2 of Form ADV. It clarified certain sections of the new form and explained how to respond in certain scenarios. Key take-aways from the update include:

Key Trigger Dates
Currently registered SEC advisers with a fiscal year-end between December 31, 2010 and April 30, 2011 must deliver the new Form ADV Part 2 and brochure supplements to new and prospective clients by July 31, 2011.

Currently registered SEC advisers with fiscal year-ends between December 31, 2010 and April 30, 2011 must deliver the new Form ADV Part 2 and brochure supplements to existing clients by September 30, 2011.

Advisers registering with the SEC between January 1, 2011 and April 30, 2011 must begin delivering the new ADV Part 2 and brochure supplements to new and prospective clients by May 1, 2011 and existing clients by July 1, 2011.

About Alex Akesson

Alex has been specializing in hedge fund and alternative investment news since April 2006. Working mainly in research and manager interviews, she has published breaking news on the hedge fund industry on her blog, as well as several industry publications. Her access to hedge fund managers gives her insight into news stories as well, and the ability to track press releases and other breaking news in real time.
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