Download our Form CRS Requirements Infographic for RIA Firms

5 Requirements For RIA Firms on Form CRS

In June 2019, the Securities and Exchange Commission ("SEC") finalized a new rule that requires RIA firms to provide a brief relationship summary to retail investors known as Form CRS or Form ADV part 3. According to the SEC, the new Form CRS "is intended to inform retail investors about: (i) the types of client and customer relationships and services the firm offers; (ii) the fees, costs, conflicts of interest, and required standard of conduct associated with those relationships and services; (iii) whether the firm and its financial professionals currently have reportable legal or disciplinary history; and (iv) how to obtain additional information about the firm."

 

In this visual guide, we walk through five requirements RIA firms must satisfy on Form CRS.

This informative infographic contains: 

  • Mandated sections to include in your Form CRS
  • When disciplinary history must be disclosed
  • "Conversation starter" questions to highlight throughout Form CRS

Contact us if you any questions about Form CRS.

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Note: RIA in a Box LLC is not a law firm, investment advisory firm, or a CPA firm. RIA in a Box LLC does not provide legal advice or opinions to any party or client. You should always consult your relevant regulatory authorities as this information should not be relied upon as currently accurate. This information is provided for educational purposes only and is not an exhaustive list of regulatory requirements.