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.
The latest form for Rule 204-3 (17 CFR 275.204-3) under the Investment Advisers Act of 1940 expires 2022-11-30 and can be found here.
Document Name |
---|
Supplementary Document |
Supplementary Document |
Supporting Statement A |