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Form CRS

Reg BI and Form CRS failures lead to penalty for Texas-based broker-dealer
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The Commission has released a new set of 10 FAQs tied to the short disclosure form that investment advisers and broker-dealers must share with their ...
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These new FAQs were released in December 2023
Broker-dealer failed to disclose that "a number of its financial professionals" had a legal or disciplinary history
The Commission's 2024 examination priorities report reveals that examiners will be scrutinizing the content of a broker-dealer's relationship summary
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The firm's revised P&Ps now require reps to request oral consent to electronic delivery from customers using a consent and disclosure script. If a customer ...
Nearly a half-dozen FINRA enforcement actions tied to Form CRS signal SRO's emphasis on the disclosure form
Charges included failing to adopt reasonably designed compliance P&Ps, not conducting annual reviews, not establishing a code of ethics, and not filing Form CRS
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SEC instructions for completing Form CRS
After nearly 600 examinations, FINRA has signaled changes to the focus of Reg BI and Form CRS exams are afoot

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