---
title: "List Form ADV topics touched by a change in authorisations"
url: "https://ailawframework.com/practice/financial-services-regulation/apply-to-vary-the-authorisations-or-conditions-on-a-financial-services-l/united-states"
type: "task_jurisdiction_version"
site: "AI Law Framework"
id: "A28-X20261018-3-US"
practice_area: "Financial Services Regulation (AFSL/ASIC/credit)"
tier: "red"
lawyer_review: "required"
jurisdictions: ["US"]
last_reviewed: "2026-10-22"
---

# List Form ADV topics touched by a change in authorisations

> List which Part 1 topics would change if the authorisations change: business, ownership, clients, employees, affiliations, or disciplinary events. Write no amendment narrative and no application.

Canonical page: https://ailawframework.com/practice/financial-services-regulation/apply-to-vary-the-authorisations-or-conditions-on-a-financial-services-l/united-states  
Last reviewed: 2026-10-22

Site index for agents: https://ailawframework.com/llms.txt

## Key facts

| Fact | Value |
| --- | --- |
| Practice area | [Financial Services Regulation (AFSL/ASIC/credit)](https://ailawframework.com/practice/financial-services-regulation.md) |
| Human involvement | Red: Lawyer writes; AI may check, clarify or collect data |
| How AI is used | List which Part 1 topics would change if the authorisations change: business, ownership, clients, employees, affiliations, or disciplinary events. Write no amendment narrative and no application. |
| What the lawyer must review | Section 80b-3(a) of Title 15 makes it unlawful for an investment adviser, except as subsection (b) and section 80b-3a provide, to use the mails or any means of interstate commerce in connection with the advisory business unless registered under that section. The exceptions in subsection (b) were not restated. Registration is by an application filed with the Commission. Investor.gov describes Form ADV Part 1 as the check-the-box statement of business, ownership, clients, employees, affiliations, and disciplinary events. Any amendment or application is written by the lawyer. The tool writes none of it. |
| Written for | United States |
| Applies to | [Apply to vary the authorisations or conditions on a financial services licence](https://ailawframework.com/practice/financial-services-regulation/apply-to-vary-the-authorisations-or-conditions-on-a-financial-services-l.md) |

## Checking plan

- What the AI does: List which Part 1 topics would change if the authorisations change: business, ownership, clients, employees, affiliations, or disciplinary events. Write no amendment narrative and no application.
- Basis: Checked against the linked sources on 22 October 2026. Confirm the current instrument before reliance.

## Notes

- Do not assume an exemption. Subsection (b) was not applied.
- The tool writes nothing that is filed with the Commission.

## Sources

- [15 U.S.C. section 80b-3, Registration of investment advisers](https://www.law.cornell.edu/uscode/text/15/80b-3) (checked 2026-10-22)
- [Investor.gov, Form ADV](https://www.investor.gov/introduction-investing/investing-basics/glossary/form-adv) (checked 2026-10-22)
- [ABA Formal Opinion 512, Generative Artificial Intelligence Tools (29 July 2024)](https://www.americanbar.org/content/dam/aba/administrative/professional_responsibility/ethics-opinions/aba-formal-opinion-512.pdf) (checked 2026-10-22)

*Practice guidance for planning and review. Confirm current primary sources and the requirements of the actual matter. This is general information, not legal advice.*