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Form CRS

Course Code: CE_CRS

Audience

This basic level course provides an overview of the Client Relationship Summary (Form CRS) of Regulation Best Interest. The course discusses how Form CRS applies to broker-dealers and their registered representatives, as well as registered investment advisers and their representatives. Sales support staff and legal and compliance staff will also find this course instructive and informative.

Course Description

Although Regulation Best Interest (Reg BI) has stolen the spotlight, it is just one part of the SEC’s Standards of Conduct for Investment Professionals Rulemaking Package, which consists of the following regulations and interpretations:

• Regulation Best Interest
• Form CRS
• Investment Adviser Fiduciary Duty Interpretation
• A “Solely Incidental” Broker-Dealer Exclusion Interpretation

This Rulemaking Package is the SEC’s attempt to clarify the standard of care applicable to broker-dealers and their representatives. It attempts to resolve any confusion that investors have surrounding the obligations of broker-dealers and their reps when they interact with retail customers. One of the primary ways that Reg BI does this is through the new Form CRS.

This course explains the Relationship Summary and outlines its requirements regarding completion, delivery and content.

CFP Program ID: 271152     CFP Credit Hours: 0.50

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