On June 30, 2020, broker dealers, investment advisers, and dual registrants are required to provide retail investors with disclosure form “Form CRS”. This form is intended to be unassuming and a simple to understand client summary which discloses:

  • The type of client relationships and services the firms offers;
  • Fees, cost, 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.

View Form CRS