Tag: Form CRS

SEC’s 2025 Exam Priorities

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The Securities and Exchange Commission (SEC) announced its exam priorities for 2025, signaling a continued focus on investment advisors, broker-dealers, and Regulation Best Interest (Reg BI). This was later summarized in a FA magazine blog. In this blog, we’ll highlight the key areas the SEC plans to scrutinize and solutions designed to support firms in […]

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Form CRS InvestorCOM

The Skinny on Form CRS

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Who should care?  SEC registered investment advisers, broker-dealers, and dual registrants, who do business with retail investors. Why Form CRS? Form CRS (client relationship summary) is designed to provide investors with simple and comparable, easy-to-understand information about the nature of their relationship with their financial professional.[1] What are the Deadlines? By June 30, 2020, all […]

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