Document ID: SEC-2015-1107-0001
Agency: sec
Document Type: Proposed Rule
Title: Amendments to a Form and Investment Advisers Act Rules
Posted Date: 2015-07-02T04:00Z

[Federal Register Volume 80, Number 127 (Thursday, July 2, 2015)]
[Proposed Rules]
[Pages 38050-38145]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: C1-2015-12778]

=======================================================================
-----------------------------------------------------------------------

SECURITIES AND EXCHANGE COMMISSION

17 CFR Parts 275 and 279

[Release No. IA-4091; File No. S7-09-15]
RIN 3235-AL75

Amendments to Form ADV and Investment Advisers Act Rules

Correction

    In proposed rule document 2015-12778, appearing on pages 33718-
33838 in the issue of Friday, June 12, 2015, make the following 
corrections:
    On page 33728, in the third column, below the last line, the text 
for footnote 92 should appear as follows:
    ``\92\ The proposed definition of Legal Entity Identifier is: A 
``legal entity identifier'' assigned or recognized by the Global LEI 
Regulatory Oversight Committee (ROC) or the Global LEI Foundation 
(GLEIF). See Proposed Form ADV: Glossary. In Item 1, we propose 
removing outdated text referring to the ``legal entity identifier'' as 
being ``in development'' in the first half of 2011.''
    On pages 33745-33838, the forms should appear as follows:
BILLING CODE 1505-01-D

[[Page 38051]]

[GRAPHIC] [TIFF OMITTED] TP02JY15.000

[[Page 38052]]

[GRAPHIC] [TIFF OMITTED] TP02JY15.001

[[Page 38053]]

[GRAPHIC] [TIFF OMITTED] TP02JY15.002

[[Page 38054]]

[GRAPHIC] [TIFF OMITTED] TP02JY15.003

[[Page 38055]]

[GRAPHIC] [TIFF OMITTED] TP02JY15.004

[[Page 38056]]

[GRAPHIC] [TIFF OMITTED] TP02JY15.005

[[Page 38057]]

[GRAPHIC] [TIFF OMITTED] TP02JY15.006

[[Page 38058]]

[GRAPHIC] [TIFF OMITTED] TP02JY15.007

[[Page 38059]]

[GRAPHIC] [TIFF OMITTED] TP02JY15.008

[[Page 38060]]

[GRAPHIC] [TIFF OMITTED] TP02JY15.009

[[Page 38061]]

[GRAPHIC] [TIFF OMITTED] TP02JY15.010

[[Page 38062]]

[GRAPHIC] [TIFF OMITTED] TP02JY15.011

[[Page 38063]]

[GRAPHIC] [TIFF OMITTED] TP02JY15.012

[[Page 38064]]

[GRAPHIC] [TIFF OMITTED] TP02JY15.013

[[Page 38065]]

[GRAPHIC] [TIFF OMITTED] TP02JY15.014

[[Page 38066]]

[GRAPHIC] [TIFF OMITTED] TP02JY15.015

[[Page 38067]]

[GRAPHIC] [TIFF OMITTED] TP02JY15.016

[[Page 38068]]

[GRAPHIC] [TIFF OMITTED] TP02JY15.017

[[Page 38069]]

[GRAPHIC] [TIFF OMITTED] TP02JY15.018

[[Page 38070]]

[GRAPHIC] [TIFF OMITTED] TP02JY15.019

[[Page 38071]]

[GRAPHIC] [TIFF OMITTED] TP02JY15.020

[[Page 38072]]

[GRAPHIC] [TIFF OMITTED] TP02JY15.021

[[Page 38073]]

[GRAPHIC] [TIFF OMITTED] TP02JY15.022

[[Page 38074]]

[GRAPHIC] [TIFF OMITTED] TP02JY15.023

[[Page 38075]]

[GRAPHIC] [TIFF OMITTED] TP02JY15.024

[[Page 38076]]

[GRAPHIC] [TIFF OMITTED] TP02JY15.025

[[Page 38077]]

[GRAPHIC] [TIFF OMITTED] TP02JY15.026

[[Page 38078]]

[GRAPHIC] [TIFF OMITTED] TP02JY15.027

[[Page 38079]]

[GRAPHIC] [TIFF OMITTED] TP02JY15.028

[[Page 38080]]

[GRAPHIC] [TIFF OMITTED] TP02JY15.029

[[Page 38081]]

[GRAPHIC] [TIFF OMITTED] TP02JY15.030

[[Page 38082]]

[GRAPHIC] [TIFF OMITTED] TP02JY15.031

[[Page 38083]]

[GRAPHIC] [TIFF OMITTED] TP02JY15.032

[[Page 38084]]

[GRAPHIC] [TIFF OMITTED] TP02JY15.033

[[Page 38085]]

[GRAPHIC] [TIFF OMITTED] TP02JY15.034

[[Page 38086]]

[GRAPHIC] [TIFF OMITTED] TP02JY15.035

[[Page 38087]]

[GRAPHIC] [TIFF OMITTED] TP02JY15.036

[[Page 38088]]

[GRAPHIC] [TIFF OMITTED] TP02JY15.037

[[Page 38089]]

[GRAPHIC] [TIFF OMITTED] TP02JY15.038

[[Page 38090]]

[GRAPHIC] [TIFF OMITTED] TP02JY15.039

[[Page 38091]]

[GRAPHIC] [TIFF OMITTED] TP02JY15.040

[[Page 38092]]

[GRAPHIC] [TIFF OMITTED] TP02JY15.041

[[Page 38093]]

[GRAPHIC] [TIFF OMITTED] TP02JY15.042

[[Page 38094]]

[GRAPHIC] [TIFF OMITTED] TP02JY15.043

[[Page 38095]]

[GRAPHIC] [TIFF OMITTED] TP02JY15.044

[[Page 38096]]

[GRAPHIC] [TIFF OMITTED] TP02JY15.045

[[Page 38097]]

[GRAPHIC] [TIFF OMITTED] TP02JY15.046

[[Page 38098]]

[GRAPHIC] [TIFF OMITTED] TP02JY15.047

[[Page 38099]]

[GRAPHIC] [TIFF OMITTED] TP02JY15.048

[[Page 38100]]

[GRAPHIC] [TIFF OMITTED] TP02JY15.049

[[Page 38101]]

[GRAPHIC] [TIFF OMITTED] TP02JY15.050

[[Page 38102]]

[GRAPHIC] [TIFF OMITTED] TP02JY15.051

[[Page 38103]]

[GRAPHIC] [TIFF OMITTED] TP02JY15.052

[[Page 38104]]

[GRAPHIC] [TIFF OMITTED] TP02JY15.053

[[Page 38105]]

[GRAPHIC] [TIFF OMITTED] TP02JY15.054

[[Page 38106]]

[GRAPHIC] [TIFF OMITTED] TP02JY15.055

[[Page 38107]]

[GRAPHIC] [TIFF OMITTED] TP02JY15.056

[[Page 38108]]

[GRAPHIC] [TIFF OMITTED] TP02JY15.057

[[Page 38109]]

[GRAPHIC] [TIFF OMITTED] TP02JY15.058

[[Page 38110]]

[GRAPHIC] [TIFF OMITTED] TP02JY15.059

[[Page 38111]]

[GRAPHIC] [TIFF OMITTED] TP02JY15.060

[[Page 38112]]

[GRAPHIC] [TIFF OMITTED] TP02JY15.061

[[Page 38113]]

[GRAPHIC] [TIFF OMITTED] TP02JY15.062

[[Page 38114]]

[GRAPHIC] [TIFF OMITTED] TP02JY15.063

[[Page 38115]]

[GRAPHIC] [TIFF OMITTED] TP02JY15.064

[[Page 38116]]

[GRAPHIC] [TIFF OMITTED] TP02JY15.065

[[Page 38117]]

[GRAPHIC] [TIFF OMITTED] TP02JY15.066

[[Page 38118]]

[GRAPHIC] [TIFF OMITTED] TP02JY15.067

[[Page 38119]]

[GRAPHIC] [TIFF OMITTED] TP02JY15.068

[[Page 38120]]

[GRAPHIC] [TIFF OMITTED] TP02JY15.069

[[Page 38121]]

[GRAPHIC] [TIFF OMITTED] TP02JY15.070

[[Page 38122]]

[GRAPHIC] [TIFF OMITTED] TP02JY15.071

[[Page 38123]]

[GRAPHIC] [TIFF OMITTED] TP02JY15.072

[[Page 38124]]

[GRAPHIC] [TIFF OMITTED] TP02JY15.073

[[Page 38125]]

[GRAPHIC] [TIFF OMITTED] TP02JY15.074

[[Page 38126]]

[GRAPHIC] [TIFF OMITTED] TP02JY15.075

[[Page 38127]]

[GRAPHIC] [TIFF OMITTED] TP02JY15.076

[[Page 38128]]

[GRAPHIC] [TIFF OMITTED] TP02JY15.077

[[Page 38129]]

[GRAPHIC] [TIFF OMITTED] TP02JY15.078

[[Page 38130]]

[GRAPHIC] [TIFF OMITTED] TP02JY15.079

[[Page 38131]]

[GRAPHIC] [TIFF OMITTED] TP02JY15.080

[[Page 38132]]

[GRAPHIC] [TIFF OMITTED] TP02JY15.081

[[Page 38133]]

[GRAPHIC] [TIFF OMITTED] TP02JY15.082

[[Page 38134]]

[GRAPHIC] [TIFF OMITTED] TP02JY15.083

[[Page 38135]]

[GRAPHIC] [TIFF OMITTED] TP02JY15.084

[[Page 38136]]

[GRAPHIC] [TIFF OMITTED] TP02JY15.085

[[Page 38137]]

[GRAPHIC] [TIFF OMITTED] TP02JY15.086

[[Page 38138]]

[GRAPHIC] [TIFF OMITTED] TP02JY15.087

[[Page 38139]]

[GRAPHIC] [TIFF OMITTED] TP02JY15.088

[[Page 38140]]

[GRAPHIC] [TIFF OMITTED] TP02JY15.089

[[Page 38141]]

[GRAPHIC] [TIFF OMITTED] TP02JY15.090

[[Page 38142]]

[GRAPHIC] [TIFF OMITTED] TP02JY15.091

[[Page 38143]]

[GRAPHIC] [TIFF OMITTED] TP02JY15.092

[[Page 38144]]

[GRAPHIC] [TIFF OMITTED] TP02JY15.093

[[Page 38145]]

[GRAPHIC] [TIFF OMITTED] TP02JY15.094

[FR Doc. C1-2015-12778 Filed 7-1-15; 08:45 am]
 BILLING CODE 1505-01-C