BD- Brokerage Compensation & Related Conflicts of Interest Disclosure Statement

The Brokerage Compensation & Related Conflicts of Interest Disclosure Statement is a useful part of a broker-dealer’s disclosure requirements to retail investors under the SEC’s new Reg. BI and Form CRS requirements. Used to complement a firm’s Form CRS, this Disclosure Statement includes fourteen separate sections referencing specific compensation structures and related conflicts of interest for firms to customize based on their specific business model. Members also viewed Form CRS Relationship Summary Template for Broker-Dealers and Form CRS Relationship Summary Template for Dual Registrants.

Version/Update: V.2/June 11, 2020

Total Page Count/Format: 12/.docx

Source/Author(s): Connexien