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 …

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

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

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 …

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 …

2024年3月22日 · SEC Regulation Best Interest sets forth the standard of conduct broker-dealers must provide to their retail customers when they make recommendations of securities or …

The Form CRS or Customer Relationship Summary (also referred to as our Client Relationship Summary) is a disclosure that investment advisers and broker-dealers must deliver to Retail …

2022年2月24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 …

Each Form CRS includes “Conversation Starters” or questions that you are encouraged to ask your financial professional. Please see below for responses to these questions for the T. Rowe …

2020年4月21日 · Form CRS is a uniform disclosure document prescribed by the SEC; it is intended to enhance investor protection by providing succinct and relevant information to retail …