Form CRS

The one-year anniversary of Form CRS arrives next week and a group that has long railed against the broker-dealer business model is urging SEC commissioners ...

“Examiners doing routine examinations are looking at Form CRS very, very closely." One adviser drew an exam deficiency for changing certain required language on the ...

The issues on the agenda today are all critically important for investors: Regulation Best Interest, gamification of trading, ESG, and the private markets

"The SEC did not follow up on indications that key aspects of the disclosures were not well-understood by investors: specifically, the distinction between a relationship ...

'Deeper reviews' of Reg BI and Form CRS, examinations of CAT compliance coming

This comes courtesy of Karen Huey of Professional Compliance Assistance in Woodstock, Ga.

“Ladies and gentlemen, these are my principles,” a great moral philosopher once said. “And if you don’t like them—well, I have others.” For the past ...

You can deliver your “amended” Form CRS or pass along the changes in another disclosure, such as your Form ADV brochure, Form ADV summary of ...

“CRS is a different beast,” said Anil Abraham. Anything disciplinary related affects your answer on the form. The SEC has been clear “if you have ...

The additional disclosure showing revised text or summarizing the material changes must be attached as an exhibit to the unmarked amended relationship summary