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Delivery of the "Brochure" to customers is not required for the sale of impersonal advisory services calling for no more than a $500 annual fee; or for the sale of advisory services to investment companies.

Part 1A Instruction 5. b. explains how to calculate your regulatory assets under management. If you are a state-registered adviser and you report on your annual updating amendment that your regulatory assets under management increased to $100 million or more, you may register with the SEC.

The brochure rule states that the required information must be provided to new clients at least 48 hours before entering into an advisory contract. Advisors must give existing clients a new brochure every year. Failure to provide the brochure is considered fraudulent behavior.

A firm brochure must be delivered to each client before or at the time an advisory agreement is entered into with a client, and it must be delivered even if the advisory agreement with the client is oral.

The rule requires investment advisers to deliver to their clients a written disclosure statement, or "brochure," of specified information concerning the background and business practices of the investment adviser. Investors use the information to determine whether to retain or continue to employ the investment adviser.

Form ADV includes two parts, both of which provide detailed information about the firm. Part I is a fill-in-the-blank form, and Part II is a brochure written in prose. The first part contains basic facts about the firm, like its fees, client types, assets under management and any disclosures.

Brochure Supplement The brochure supplements contain information about the educational background, business experience, and any disciplinary history of the specific individuals who provide advisory services to the client. Brochure supplements may be separate documents or incorporated into the firm brochure.

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Under SEC and similar state rules you are required to deliver to clients and prospective clients a brochure disclosing information about your firm. Part 2: You must amend your brochure supplements (see Form ADV, Part.SEC 1707 (08-22) File 1 of 5. 3. This Appendix contains ten sample notification forms. If you receive a request for additional information, please complete it and submit it as soon as possible. Create a UI Online account or log in to an existing account. 3. Complete all the information requested and submit your application. 4. If you do not provide enough information and documents to support your request, there will be a considerable delay in processing your request. The purpose of this brochure is to inform persons seeking to file a petition before the Commission of some of the basic concepts they should know. The purpose of this brochure is to inform persons seeking to file a petition before the Commission of some of the basic concepts they should know.

Request for Additional Information , Not in Brochure 1

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