Compliance Date Is October 1, 2017 for SEC’s Amendments to Form ADV and IAA Rule 204-2 Last year, the SEC adopted amendments to Form ADV and Rule 204-2 under the Advisers Act and the compliance date for the amendments is October 1, 2017. Registered investment advisers should consider whether the changes affect the types of …
NFA Adds Financial Ratios to Information Required for Forms PQR and PR for Quarter Ending June 30, 2017 In August 2016, NFA’s Board of Directors issued an Interpretive Notice under which registered CPOs and CTAs will be required to report specified financial ratios in their Forms PQR and PR, beginning with the quarter ended June …