Form ADV Part 2B, Brochure Supplements - New SEC deadline

Investment News article 1.11.11, Liz Skinner

Advisers have an additional four months to prepare “plain English” brochure supplements about their investment personnel thanks to an extension granted by the Securities and Exchange Commission late last month.

The extension for the supplements — known as ADV Part 2B —gives existing investment advisers with a fiscal year ending Dec. 31 until July 31, 2011 to file the ADV Part2B to new and prospective clients. They have until Sept. 30, 2011 to deliver the documents to existing clients.

New investment advisers registering through April 30, 2011, have until May 1, 2011 to deliver the brochure supplements to new and prospective clients and they have until July 1, 2011 to deliver them to existing clients.

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