TITLE

SEC Adopts Y2K Disclosure Form

PUB. DATE
December 1998
SOURCE
Journal of Financial Planning;Dec1998, Vol. 11 Issue 6, p73
SOURCE TYPE
Academic Journal
DOC. TYPE
Article
ABSTRACT
This article reports on the Form ADV-Y2K adopted by the U.S. Securities and Exchange Commission (SEC) in September 1998. ADV-Y2K is a disclosure document that was required filing by all SEC investment advisers, as of December 8, 1998. A second, updated filing will be required on June 7, 1999. State-licensed advisers are not required to file the same form with their state securities administrators, although the Institute of Certified Financial Planners strongly recommends that they do Y2K due diligence as well. The institute is strongly supportive of Y2K disclosure, but made several suggestions to the SEC during the comment period on the new form.
ACCESSION #
1401056

 

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