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News June 26, 2017 Issue

SEC Staff Issue Form ADV FAQs as Compliance Deadline Approaches

Form ADV is changing Ė and advisers that do not take the time to learn how to answer the new questions may find themselves scrambling for answers as the October 1 effective date draws near. It may seem far off, but itís only a little more than 90 days away. The SECís Division of Investment Management earlier this month issued answers to 23 frequently asked questions to help advisory firms prepare.

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