Thursday, April 25, 2013

REMINDER - Brochure Delivery (4/30/13 Deadline!)

Don't forget to DELIVER your ADV2A ("Disclosure Brochure") and the ADV2B ("Brochure Supplements")

RIAs must deliver to all clients their disclosure brochure (ADV2A) and the brochure supplements for each advisory person providing advice to the client.

DEADLINE: 120 days following the fiscal year end. If you have a December fiscal year end, the deadline is April 30, 2013.


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