April 1, 2011

A Few States Extend the ADV2 Deadline

Most SEC and State registered advisors were required to file their new ADV2 in plain English format along with their annual updating amendment due March 31, 2011. 

A few states recognized the strain this change has put on advisors, regulators and others. The following states have extended their deadlines:

  • Michigan (4/30/11)
  • Connecticut (6/01/11)
  • Colorado (6/30/11)
  • Kentucky (7/01/11)
  • Pennsylvania (9/30/11)
  • Texas (3/31/11)
For those required to file March 31st, remember that you must deliver your new ADV2 by May 1, 2011. 

If you would like a sample client letter, please email us at Advisors@AdvisorAssist.com.

For more information on the ADV2, please visit the compliance section of AdvisorAssist.com at http://www.advisorassist.com/adv2.


Post a Comment