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Evaluating Form CRS Relationship Summary

The Form CRS Relationship Summary is critical to empowering investors under Regulation Best Interest (Reg BI). In this report, we examine Relationship Summaries from firms spanning broker/dealers, RIAs, and dual registrants, to assess the quality of information provided to investors.

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What's Inside

  • Our analysis of 100 Relationship Summaries, which found that few firms went beyond the minimum requirements
  • How, under Reg BI, the Relationship Summary has broader relevance with the Department of Labor’s PTE rule
  • Examples of clear, investor-friendly disclosure showing it is achievable to explain the all-in cost for investors

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