Your financial adviser may have presented you with a new compliance form called Form CRS. This form is now being required to be sent to clients by the Securities and Exchange Commission (SEC), which ...

An SEC committee is calling out firms over form CRS disclosures, stating that many of the summaries provided by registered broker-dealers and investment advisors are inundated with jargon, technical ...

The agency's Standard of Conduct Implementation Committee found content and format problems after reviewing a cross section of filings. By Mark Schoeff Jr. The Securities and Exchange Commission on ...

The Securities and Exchange Commission (SEC) will hold a roundtable this fall to publicly assess how brokerage and advisory firms have fared in developing and distributing their Form Client ...

The Securities and Exchange Commission warned financial firms not to omit the disciplinary history of the firm or its personnel from a new disclosure document. Top agency officials said SEC staff ...

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Financial services regulation doesn’t lack for the occasional drama. In early June the Securities and Exchange Commission (SEC) adopted Regulation Best Interest (“Reg BI”), the Form CRS Relationship ...

Have you received a Form CRS in the mail from the investment firm(s) you do business with? This is a brand-new disclosure document mandated by the U.S. Securities and Exchange Commission. Why A New ...

SEC Chairman Gary Gensler, center, represents investors' best chance for a Form CRS that draws sharper contrasts between RIAs and brokers, experts said. Form CRS doesn’t work — but there’s hope under ...

We collaborate with the world's leading lawyers to deliver news tailored for you. Sign Up for any (or all) of our 25+ Newsletters. Some states have laws and ethical rules regarding solicitation and ...