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An investment adviser registered with the SEC under the Investment Advisers Act of 1940 changes from an S Corporation to a C Corporation. Which statement is TRUE
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An investment adviser registered with the SEC under the Investment Advisers Act of 1940 changes from an S Corporation to a C Corporation. Which statement is TRUE

User Tywanda
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Answer: An amendment to form ADV has to be filed promptly with SEC.

Step-by-step explanation:

It should be noted that the form ADV which will be filed with the Securities Exchange Commission (SEC) consist of the compensation that will be received, the business history of the firm, disclosure of conflicts of interest and to know if the adviser has discretion or not.

User Paul T Davies
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