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 ...

More than two dozen investment advisers and broker/dealers (B/Ds) have agreed to settle charges that they allegedly failed to timely file and deliver key forms to retail investors. According to the ...

To help retail investors better understand the services, fees, costs, conflicts of interest, and required standards of conduct that apply to relationships with broker-dealers (Broker-Dealers), ...

The SEC’s Division of Examinations is focusing on “hundreds” of firms the commission believes should have filed a Form CRS that have not yet done so, according to its division director. One industry ...