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Investor Education Regarding Form CRS From the SEC




As part of the requirements for creating your Form CRS, you are expected to provide a link to https://www.investor.gov/CRS when creating your ‘introduction’ portion of the form.  The introduction, part 1 of 5, provides a brief description of how IA and B-D services and fees differ to allow a retail investor to understand the difference.  The other sections of Form CRS include:  Relationships and Services; Fees, Costs, Conflicts and Standard of Conduct; Disciplinary History; and Additional Information or ‘Conversation Starters’.