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Recommended that Firms Improve Form CRS Disclosures by SEC Committee

The SEC Standards of Conduct Implementation Committee called on firms to improve their Form CRS relationship summary disclosures. The Committee previously reviewed firms' compliance with Form CRS and released preliminary findings. ....

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SEC Staff Statement Regarding Form CRS Disclosures - Standards Of Conduct Implementation Committee

<p><span>Form CRS is a brief relationship summary designed to help retail investors make informed choices regarding what type of relationship—brokerage, investment advisory, or a combination of both—best suits a retail investor’s particular circumstances and investment objectives. SEC-registered broker-dealers and investment advisers (each, a “firm”) offering services to retail investors must file with the Commission and provide to retail investors a relationship summary containing plain English disclosures on specific topics under standardized headings and in a prescribed order. The relationship summary is intended to promote transparency, comparability and better-informed decision-making, through clear, concise disclosures, and by summarizing in one place selected information about a particular firm. This format is designed to allow retail investors to more easily compare different firms’ services, fees, conflict ....

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