Tag: Form CRS
2020 Policy Outlook: Looking Ahead Requires Looking Back
The IAA is proud to have advanced the interests of the investment adviser community in 2019 – with the strong support and involvement of our members.
January 01, 2020
Tags: Privacy, Columns, Form CRS, From the President & CEO, Karen Barr, Proxy, Proxy Voting, Reg BI
The report discusses three policy areas of strong interest to investment advisers – regulation of proxy advisory firms, Form CRS, and the Commission’s Interpretation of the “solely incidental” exclusion from the Advisers Act for broker-dealers.
December 29, 2019
Tags: Form CRS, Proxy Advisory Firms, Rick Fleming, SEC Investor Advocate
SEC Publishes FAQs on Form CRS
The SEC staff has published FAQs addressing a number of formatting and delivery requirements for new Form CRS that investment advisers and broker-dealers must soon provide to retail investors.
November 27, 2019
Advisers Are Permitted to Use the Word “Fiduciary” in Form CRS
Advisers are permitted to use the word “fiduciary” in their disclosures, including new Form CRS, contrary to recent press reports that seem to imply otherwise.
June 20, 2019
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