Regional Vice President of Sales The Retirement Plan Company
|
Defined Benefit Combo Cash Balance Compliance Consultant Loren D. Stark Company (LDSCO)
|
Loan & Distribution Specialist AimPoint Pension
|
Compass
|
Bates & Company, Inc.
|
AimPoint Pension
|
“BenefitsLink continues to be the most valuable resource we have at the firm.”
-- An attorney subscriber
Text of Final Rule on SEC Form CRS Relationship Summary; Amendments to Form ADV
U.S. Securities and Exchange Commission [SEC] [Official Guidance] June 6, 2019 524 pages. "The relationship summary [on Form CRS] is intended to inform retail investors about: [1] the types of client and customer relationships and services the firm offers; [2] the fees, costs, conflicts of interest, and required standard of conduct associated with those relationships and services; [3] whether the firm and its financial professionals currently have reportable legal or disciplinary history; and [4] how to obtain additional information about the firm.... Retail investors will receive a relationship summary at the beginning of a relationship with a firm, communications of updated information following a material change to the relationship summary, and an updated relationship summary upon certain events. The relationship summary is subject to Commission filing and recordkeeping requirements." |
Please click here to report this link if it is broken (for example, if you see a "404 File Not Found" error message after you click on the linked news item's title). |
An important word about authorship: BenefitsLink® created this link to the news item, but we are not the news item's author (unless expressly shown above). |