Form CRS is a client or customer relationship summary. Advisers and brokers are required to deliver a relationship summary to you beginning in summer 2020. The relationship summary …

Broker-dealers registered with the SEC that offer services to retail investors must file and deliver a Form CRS under Rule 17a-14.

Filing Form CRS is mandatory for every broker or dealer registered with the Commission pursuant to section 15 of the Exchange Act that offers services to a retail investor. See 17 CFR 240.17a …

2024年3月22日 · Form CRS is a relationship summary disclosure that broker-dealers and SEC-registered investment advisers must provide retail investors.

Form CRS and its related rules require SEC-registered investment advisers and SEC-registered broker-dealers (together, “firms”) [3] to deliver to retail investors a brief customer or client …

Registered broker-dealers and registered investment advisers are required to provide a new customer or client relationship summary (also called Form CRS) to retail investors. SEC staff …

2022年6月30日 · Form CRS—short for client or customer relationship summary—is a mandatory written disclosure that broker-dealers and registered investment advisors (RIAs) must provide …

2024年6月14日 · Form CRS is meant to be concise and direct and should not exceed two pages. The good news for SEC-registered advisers is that the Form CRS has a fairly prescriptive …

2020年8月6日 · In order to help you, the retail investor, understand the differences between brokers and advisers—including, for example, the services they offer and the fees they …

2023年2月2日 · Form CRS is a relationship summary disclosure form (“CRS” stands for customer or client relationship summary). As part of their disclosure obligations under Reg BI, broker …