Title

An Overview of Clearance and Settlement of Securities Transactions
Compliance Corner

Created date

1/3/2011
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.