IA- Form CRS Requirements for State Registered Investment Advisers

The Form CRS Requirements for State Registered Investment Advisers list is part of SEC’s final rule on Form CRS that requires registered broker-dealers and investment advisers to provide a relationship summary (Form CRS) to retail investors. Although only SEC-registered BD/IA firms are subject to the final rule, a review of state requirements revealed that some states have adopted Form CRS requirements.  Our Form CRS list includes the states currently requiring the Form CRS to include contact information and rule references vs. states that do not require or have not yet adopted Form CRS requirements. Members also viewed Form CRS Relationship Summary Template for Dual Registrants and Form CRS Relationship Summary Template for Investment Advisers.

Version/Update: V.2/June 8, 2020

Total Page Count/Format: 9/.pdf

Source/Author(s): Connexien