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Form CRS

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 broker-dealers ...
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 ...
Read these instructions carefully before filing Form ADV. Failure to follow these instructions, properly complete the form, or pay all required fees may result in ...
Form CRS or elationship summary.
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, ...
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” ...
The Securities and Exchange Commission (“Commission”) is proposing new and amended rules and forms under both the Investment Advisers Act of 1940 (“Advisers Act”) and ...
Call it a customer relationship summary. That’s the new form that the Commission has proposed designed to help retail investors differentiate between investment advisers and ...
Form CRS, for preparation, filing and delivery of Form CRS. (a) Scope of section. This section shall apply to every broker or dealer registered with ...
(a) General requirements. If you are registered under the Act as an investment adviser, you must deliver Form CRS, required by Part 3 of Form ...
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