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 ...

In September, noting they believe a more viable customer relationship summary (CRS) form could be developed by the SEC as part of its Regulation Best Interest proposal, a group of retiree and investor ...

To help retail investors better understand the services, fees, costs, conflicts of interest, and required standards of conduct that apply to relationships with broker-dealers (Broker-Dealers), ...

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 ...

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 ...

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 ...

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 ...

On December 17, 2021, the staff of the U.S. Securities and Exchange Commission issued a statement regarding Form CRS disclosures required of SEC-registered broker-dealers and investment advisers who ...

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 ...

Guidance from the Securities and Exchange Commission late last month could limit RIAs’ ability to define themselves in their Forms CRS as fiduciaries, according to the Institute for the Fiduciary ...

Here's what you need to know about the new SEC rules designed to help everyday investors make decisions and work with investment professionals. On June 30, 2020, new rules took effect that are ...

The SEC tackles this question and others in a new FAQ publication about the Regulation Best Interest rulemaking package, as does Morningstar in a new paper that examines the regulation’s impact on ...