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Form CRS

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 ...
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 proposed Form ...
The financial services industry has been clamoring for changes to the SEC’s proposed customer relationship summary form since it was proposed last April, but investors ...
The SEC’s Office of the Investor Advocate engaged the RAND Corporation to conduct a nationwide survey and qualitative interviews of investors to gather feedback on ...
SEC Commissioner Hester Peirce is clearly a fan of new approaches to investor-friendly disclosure. But she’s not thrilled with the Commission’s proposed Form CRS (IA ...
Hester Peirce
As has been correctly noted, proposed Regulation Best Interest would require disclosure and at least mitigation of any material financial conflict of interest a broker-dealer ...
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 ...
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 ...
This corrects a few items in the earlier SEC proposal calling for a Form CRS.
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” ...
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