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Will old investor complaints have to be disclosed after the SEC’s Reg BI takes effect?

Will investment advisors with customer disputes over ten years old have to disclose them on their Form ADV under the new SEC Regulation Best Interest Rule that’s taking effect after June 30, 2020? The short answer is, yes. Advisors will be required to disclose these old investor complaints on their ADV Part 3.

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​AdvisorLaw is not a law firm and does not provide legal services. AdvisorLaw does have the expertise to advise and assist financial professionals when it’s time to defend your good name. We partner with attorneys ​who specialize in issues facing financial professionals, and can team with your own lawyers to provide the specific expertise called for.

​AdvisorLaw is not a law firm and does not provide legal services. AdvisorLaw does have the expertise to advise and assist financial professionals when it’s time to defend your good name. We partner with attorneys ​who specialize in issues facing financial professionals, and can team with your own lawyers to provide the specific expertise called for.

​AdvisorLaw LLC • 9737 Wadsworth Parkway, Ste 205 • Westminster, CO 80021 • Sitemap
​AdvisorLaw LLC • 9737 Wadsworth Parkway, Ste 205 • Westminster, CO 80021 • Sitemap