Tuesday, September 25, 2012

NJ to Review ADV Amendments

On October 1, 2012, the Examinations Unit of the Bureau will commence an initiative to review amendments to the Form ADV Part 2 firm brochure (“Brochure”) submitted to the IARD system by an investment adviser registered with the Bureau (“IA”).

Upon review of an amended Brochure, the Bureau may notify you by email of any deficiencies in your amended Brochure, which you will be expected to address promptly. Any deficiency that is not appropriately and timely resolved may result in further action. You are reminded that your Brochure must be in compliance with the New Jersey Uniform Securities Law.

As an AdvisorAssist Compliance Client, we were make all appropriate updates to your ADV1, ADV2A and ADV2B.

If you receive a notice from New Jersey or any other state, please post a copy of the letter into your Advisor Portal and notify AdvisorAssist at support@advisorassist.com.

The AdvisorAssist Team


Post a Comment