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An IA who executed transactions through an affiliated BD must disclose this relationship through form ____.

A) Form ADV
B) Form U4
C) Form 1099
D) Form BD

User Darkzangel
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Final answer:

An IA must disclose transactions executed through an affiliated BD using Form ADV. This form is essential for registering with the SEC and state securities authorities, and it helps in informing clients about potential conflicts of interest.

Step-by-step explanation:

An Investment Adviser (IA) who executes transactions through an affiliated Broker-Dealer (BD) must disclose this relationship through Form ADV. Form ADV is the uniform form used by investment advisers to register with both the Securities and Exchange Commission (SEC) and state securities authorities. It requires IAs to provide detailed information about their investment advisory business, including any material relationships with affiliated BDs, which might present potential conflicts of interest to their clients.

User Smittey
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