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Form CRS

There are now nearly 13,500 SEC-registered IAs managing $97.2 trillion in assets
Common mistakes included disclosures clouded with dense words or the use of generic, boilerplate or marketing language and advisers referring to themselves as “fiduciaries”
"OCIE, have been conducting initial examinations after the compliance date. Initial examinations of Reg BI and Form CRS have focused on assessing whether firms have made ...
While you must answer the form's disciplinary question, in a new twist, the FAQs provide permission to give separate answers for the firm and its ...
Jay Clayton
The new FAQs provide guidance on disclosing disciplinary histories on Form CRS
The Commission released these Oct. 8, 2020. They emphasize how to report disciplinary histories
You can watch the two-hour event online live or on demand
The SEC "will be hosting a roundtable this fall to share additional thoughts following completion of its review of the initial filings and will continue ...
The firm was asked to hand over everything from a list of retail customers to fee “grids or schedules” to information on any “bonuses or ...
However, if you’re unclear in what capacity you’re acting then you “should assume that both Regulation Best Interest and the Investment Advisers Act would apply
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