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Form CRS (29)
Your search for Form CRS returned 29 results.
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10/10/2019 | Content area: Broker-Dealer
FINRA Oct. 8 made available resources to assist firms in complying with the SEC’s Regulation Best Interest and Form CRS by the June 30, 2020 complianc...
9/26/2019 | Content area: Investment Adviser
An open question is circulating among a group of advisers about whether firms that serve institutional clients – yet also feature wrap fee programs th...
9/19/2019 | Content area: Investment Adviser
Eyes are peering upon a draft that could eventually become the SEC’s proposed new IA advertising rule. In yet another sign that a long-awaited proposa...
9/12/2019 | Content area: Investment Adviser
You may be alarmed when you think it took the SEC 178 pages in its Form CRS rule to help you produce a new two-page disclosure document (IA Watch, Jun...
8/08/2019 | Content area: Broker-Dealer
A New York assemblyman is preparing legislation that will bring the ongoing battle over whether broker-dealers owe a fiduciary duty to their clients t...
6/13/2019 | Content area: Investment Adviser
The good news is that the recently adopted Form CRS has been further condensed to a maximum two-page disclosure document for investment advisers and b...
6/13/2019 | Content area: Investment Adviser
Let’s face it—the two-page allotment for your Form CRS disclosures is not a lot of space any way you look at it. Being clear, along with being concise...
6/10/2019 | Content area: Investment Adviser
Read these instructions carefully before filing Form ADV. Failure to follow these instructions, properly complete the form, or pay all required fees m...
6/10/2019 | Content area: Investment Adviser | Broker-Dealer
Under rule 17a-14 under the Securities Exchange Act of 1934 and rule 204-5 under the Investment Advisers Act of 1940, broker-dealers registered under ...
6/05/2019 | Content area: Investment Adviser
Succinct, clear and concise, and Plain-English aren’t usually the buzz words affixed to SEC disclosures but those are among the goals for the Form CRS...
6/05/2019 | Content area: Investment Adviser
The Securities and Exchange Commission (the “Commission” or the “SEC”) is adopting new rules and forms as well as amendments to its rules and forms, u...
12/06/2018 | Content area: Investment Adviser
Despite the comment period for the SEC’s trio of fiduciary duty-related proposals closing this past summer, the industry continues to weigh in on prop...
11/15/2018 | Content area: Investment Adviser
The financial services industry has been clamoring for changes to the SEC’s proposed customer relationship summary form since it was proposed last Apr...
11/12/2018 | Content area: Investment Adviser
The SEC’s Office of the Investor Advocate engaged the RAND Corporation to conduct a nationwide survey and qualitative interviews of investors to gathe...
10/11/2018 | Content area: Investment Adviser
SEC Commissioner Hester Peirce is clearly a fan of new approaches to investor-friendly disclosure. But she’s not thrilled with the Commission’s propos...
10/02/2018 | Content area: Investment Adviser
As has been correctly noted, proposed Regulation Best Interest would require disclosure and at least mitigation of any material financial conflict of ...
9/20/2018 | Content area: Investment Adviser
The SEC needs to go back to the drawing board and revise and retest the content, language, and format of its proposed Customer Relationship Summary fo...
8/02/2018 | Content area: Investment Adviser
The August 7 deadline for comments on the trio of SEC fiduciary duty-related proposals (IA Watch, April 18, 2018) is fast closing in and SEC Commissio...
5/23/2018 | Content area: Investment Adviser
This corrects a few items in the earlier SEC proposal calling for a Form CRS.
4/26/2018 | Content area: Investment Adviser
Four pages may seem incredibly short when you have to stuff it with reams of data and required language while keeping it “easy to read” and in a font ...


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