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Investor Advocates Call For Revamped Form CRS

Investor Advocates Call for Revamped Form CRS
The Institute for the Fiduciary Standard released its alternate version of the disclosure document, arguing more was needed to draw the distinction between investment advisors and broker/dealers.
Investor protection advocates want the Securities and Exchange Commission to revisit and revise its Form Customer Relationship Summary (CRS), the disclosure document implemented alongside Regulation Best Interest last year.
Knut Rostad, the founder of the Institute for the Fiduciary Standard, presented an alternate version of the Form CRS that investor advocates, during a panel discussion hosted by the institute, argued would more starkly draw the distinction between investment advisors and broker/dealers. ....

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PRIMER: Regulation Best Interest | International Financial Law Review

PRIMER: Regulation Best Interest
IFLR’s latest free-to-read primer looks at Securities and Exchange Commission’s Regulation Best Interest, addressing what it is, what it does and related retail investor protection issues
April 07 2021
Regulation Best Interest (Reg BI) is a Securities and
Exchange Commission (SEC) package of rules aimed at improving the quality and
transparency of retail investors’ interactions with investment advisers and
broker-dealers.
IFLR’s latest free-to-read primer looks at the rule,
addressing what it is, what it does and related retail investor protection
issues.
What is Regulation
Best Interest?
The rule, adopted in 2019, requires
that investment recommendations by advisers and broker-dealers are made in the customers’ ....

New York , United States , New Jersey , Geoffrey Brown , Marlon Paz , Stephanie Nicolas , John Polise , Steve Hall , Billy Joel , Barbara Roper , Kyle Deyoung , Wilmer Hale , Gary Gensler , Jay Clayton , Dodd Frank , Mayer Brown , Financial Markets Authority Sifma , Department Of Labor Dol Investment Advice , Financial Industry Regulatory Authority Finra , Exchange Commission , Lehman Brothers , National Association Of Personal Advisors , Consumer Federation Of America , Euromoney Institutional Investor , Best Interest , Regulation Best ,