Your financial adviser may have presented you with a new compliance form called Form CRS. This form is now being required to be sent to clients by the Securities and Exchange Commission (SEC), which ...

Form CRS is one of the latest Reg BI requirements for wealth management firms, and it’s not going anywhere anytime soon. But what are the latest updates to Form CRS, and how can firms prepare for a ...

Financial services regulation doesn’t lack for the occasional drama. In early June the Securities and Exchange Commission (SEC) adopted Regulation Best Interest (“Reg BI”), the Form CRS Relationship ...

Last week, the Securities and Exchange Commission released additional guidance to help advisors prepare Regulation Best Interest’s implementation in the form of responses to a number of frequently ...

Investment advisers registered with the Securities and Exchange Commission are scrambling to put together a client relationship summary required by the agency’s investment advice reform rules that go ...

A new FINRA analysis finds that the first full year of Reg BI and Form CRS compliance was rife with instances of poorly written supervisory procedures, inadequate staff training and conflict of ...

There’s a lot of chatter about what’s right — and what’s wrong — with Regulation Best Interest. But what firms really need to focus on now is the new Form CRS requirement. Processing Content This is ...

Earlier this week, the Securities and Exchange Commission warned investment advisers and brokers that they’re falling short on a new client disclosure that went into effect last month -- but it didn’t ...

U.S. News Financial Connect, Inc. (“USNFC,” “we,” or “us”) is registered with the Securities and Exchange Commission (“SEC”) as an investment adviser. Brokerage and investment advisory services and ...