Browsing: commission disclosure

SEC Receives Comments on Form ADV Changes

New York—The SEC is starting to receive comments on its proposed changes to Form ADV, and, fittingly, the first few comments pertain to the soft dollar disclosure provisions. The first ...

SEC Releases New Form ADV Guidelines

New York – The U.S. Securities and Exchange Commission has posted its proposed amendments to Form ADV, including its guidelines for the disclosure of “soft dollars”. The proposed ...