Introductory Note
We recognize that the customer – consumer designation is confusing and not one typically used by investment advisers. For almost all intents and purposes, a “customer” is what an investment adviser calls a “client.” Therefore, in this set of Frequently Asked Questions, we will use the designation “customer/client” so that it is clear to investment advisers that the particular issue or requirement being discussed is most likely applicable to the majority of their clients.
Definitions and Basic Information
[accordions] [/accordions]
Delivery Requirements
[accordions] [/accordions]
Content Requirements
[accordions] [/accordions]
Opt-Out
[accordions] [/accordions]
Important Information
The information contained in this Frequently Asked Questions is only a summary and is not intended to be a comprehensive analysis of the rules and regulations applicable to registered investment advisers. It is not intended to constitute legal or compliance consulting advice or apply to any one investment adviser’s particular situation. For more information, please see our Terms of Use.