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An Overview of Clearance and Settlement of Securities Transactions
Compliance Corner

Created date

Investment Adviser Association, No. 217, p. 12

On November 19, the SEC adopted proposed rules to implement provisions in Title IV of the Dodd-Frank Act that amend the Advisers Act. A significant part of the proposal includes substantial amendments to Part 1 of Form ADV. The amendments are intended to enable the SEC to enhance its oversight of investment advisers by improving the data collected from advisers.