Understanding Disclosure

Last updated: April 13, 2016

Make Sure To Get Disclosure Documents

Disclosure documents called a "prospectus" accompany securities offered to the general public. 

  • The prospectus informs you about the investment opportunity, the risks, and the company. 
  • It can also help avoid possible disputes between you and the company.

Investment advisers must disclose information about their firm and investment adviser representatives. 

  • Most investment advisers must file a Form ADV and register with the SEC or the state. 
  • Form ADV discloses their work history, education and training, investment approach, and disciplinary history.

*The information on this page is credited to IPT and Kiplinger. Their original materials are made available on the Kansas Securities Commissioner's website.

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