Practice Quiz

Financial Planner

Category - Professional Conduct and Regulation

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How often must a Certified Financial Planner/Investment Adviser, file Form ADV (registration form) with the SEC, reporting contact information and assets under your management?
  1. Annually
  2. Quarterly
  3. Monthly
  4. Weekly
Explanation
Answer: D - Form ADV is required to be filed by all investment advisers, and it is filed with the SEC. On this form, you submit your annual registration, including contact information and the amount of assets that is under you (or your firm’s) management. There are other reporting obligations for investment advisers.
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