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In June 2019, the SEC adopted requirements (SEC Release 34-86032) for registered investment advisers, broker-dealers, and dual-registrants that do business with retail investors to file Form CRS (customer relationship summary). Form CRS is intended to inform retail investors about:
- The types of client/customer relationships and services the firm offers;
- Fees, costs, conflicts of interest, and required standard of conduct associated with those relationships and services;
- Whether the firm and its financial professionals currently have reportable legal or disciplinary history;
- How to obtain additional information about the firm.
The deadline for firms to be compliant with Form CRS is June 30, 2020.