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The SEC Rulemaking Package: Form CRS
Spencer Fane Link to more items from this source
[Guidance Overview]
June 12, 2019

"The SEC created Form CRS for the purpose of informing retail investors about the differences between brokerage and investment advisory firms and their services.... The Form is designed to provide information regarding: [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 investment professionals currently have reportable legal or disciplinary history, and [4] how to obtain additional information about the firm."

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