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NASAA Fall Conference 2012 Joint Web CRD/IARD Forum

NASAA Fall Conference 2012 Joint Web CRD/IARD Forum. Overview: Revisions to Form ADV Part 1B*

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NASAA Fall Conference 2012 Joint Web CRD/IARD Forum

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  1. NASAA Fall Conference 2012Joint Web CRD/IARD Forum Overview: Revisions to Form ADV Part 1B* *These slides provide an overview to some of the revisions to Form ADV Part 1B, but are not intended to provide a comprehensive presentation of the revisions. Please consult the revised Form ADV Part 1B to see the totality of the revisions.

  2. Revisions to Form ADV Part 1B • On July 23, 2012, NASAA’s CRD/IARD Steering Committee proposed a series of revisions to Form ADV Part 1B for which the public comment period ran through August 13, 2012. • The following items were revised: 2.A., 2.C., 2.D., 2.G., 2.I. and 2.K.; Disclosure Reporting Pages (DRPs) were also revised. • NASAA members approved the revisions at the Business Meeting on Sunday, September 10, 2012.

  3. Item 2.A. Supervision / Compliance FORM ADV Part 1B Page 1 of 4

  4. Items 2.C & 2.D Now Include Advisory Affiliates & Management Persons (Similar to Item 2. E.) FORM ADV Part 1B Page 2 of 4

  5. Item 2.G. Other Business Activities FORM ADV Part 1B Page 3 of 4

  6. ITEM 2.I. Custody ITEM 2.I.(1): Addition of Title FORM ADV Part 1B Page 3 of 4

  7. ITEM 2.I. Custody ITEM 2.I.(2): Expanded Scope FORM ADV Part 1B Page 3 of 4

  8. Item 2.I. Custody Item 2.I.(2)(a)(ii): Independent Party Item 2.I.(2)(b): Trust Relationships FORM ADV Part 1B Page 4 of 4

  9. New Item 2.K.: Date of Formation FORM ADV Part 1B Page 4 of 4

  10. BOND DISCLOSURE REPORTING PAGE (ADV)

  11. JUDGMENT/LIEN DISCLOSURE REPORTING PAGE (ADV)

  12. ARBITRATION DISCLOSURE REPORTING PAGE (ADV)

  13. ARBITRATION DISCLOSURE REPORTING PAGE (ADV)(Cont’d)

  14. ARBITRATION DISCLOSURE REPORTING PAGE (ADV)

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