Want the latest retirement plan adviser news and insights? Sign up for PLANADVISER newsletters.
Products November 5, 2010
Form ADV 2 Template Available for RIAs
The “Form ADV Part 2 Brochure Template” will help investment advisers with the new required format based on the recent Securities and Exchange (SEC) rule update.
Reported by Nicole Bliman
Created by The Consortium, a company offering compliance support to professionals in the financial services industry, the ADV 2 Brochure is delivered in a Microsoft Word format for customization.
The template includes:
- Headings for each section required by the SEC and state regulators
- Table of Contents linked to the section headings for automatic table updates
- Text boxes for each section to be completed with instructions in plain view until you are ready to delete them from your final draft
- Detailed sample narrative for each section for your easy modification and customization for your practice for Parts 2A (Firm Brochure) and 2B (Brochure Supplement for supervised persons)
- Links to IARD websites (SEC and FINRA) and to the adopting release giving you full access to a wealth of information
The template costs $99 and is available for purchase here.
The SEC this summer voted to adopt changes to the Form ADV, Part 2, the principal disclosure document that SEC-registered investment advisers must provide to their clients and prospective clients (see “SEC“).
You Might Also Like:
![](https://si-interactive.s3.amazonaws.com/prod/planadviser-com/wp-content/uploads/2024/07/10135950/PAPS-071024-SEC-reproposals-1309968661-web-432x243.jpg)
Swing Pricing, Predictive Analytics, Safeguarding SEC Proposals to be Re-Proposed
The SEC aims to try again with its rules on predictive analytics and safeguarding by year’s end and for swing...
![](https://si-interactive.s3.amazonaws.com/prod/planadviser-com/wp-content/uploads/2024/06/27131226/CIOPA-062724-SCOTUS-Jarkesy-859031624-web-432x243.jpg)
SEC’s ALJ Process Rolled Back by Supreme Court
The court ruled that issuing fines administratively violates the Seventh Amendment.
![](https://si-interactive.s3.amazonaws.com/prod/planadviser-com/wp-content/uploads/2024/06/25152024/PA-062524-Fisher-401k-Practice-1411511887-web-432x243.jpg)
Fisher Investments to Spin Off Independent 401(k) Practice
The RIA is spinning off its 401(k) division to become Fisher Retirement Solutions.