Form CRS

The Commission released these Oct. 8, 2020. They emphasize how to report disciplinary histories

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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

Investment advisers are already struggling at laying out their firms’ relationship summaries, the SEC says. IAs were required to publish their Form CRS beginning June ...

The Committee’s initial reviews have identified examples that may lack certain disclosures or could be clearer or otherwise improved

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"This may create incentives to act against your best interest to generate trading profits or minimize losses"

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