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Smaller Adviser
Feedback Flier
Proposed Amended Adviser Advertising
and Solicitation Rules
We are proposing reforms of rules under the Advisers Act relating to how advisers advertise to and solicit
clients
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What is smaller adviser?
A smaller adviser is an investment adviser who must comply with specific reporting and filing requirements set by regulatory authorities.
Who is required to file smaller adviser?
Smaller advisers who meet certain criteria set by regulatory authorities are required to file.
How to fill out smaller adviser?
Smaller advisers must fill out the required forms and submit them to the appropriate regulatory authorities.
What is the purpose of smaller adviser?
The purpose of smaller adviser is to ensure transparency and compliance within the investment advisory industry.
What information must be reported on smaller adviser?
Smaller advisers must report information such as assets under management, client base, and investment strategies.
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