Form CRS: Practical Considerations for Attorneys

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New Hampshire MCLE
Accreditation Info

New Hampshire attorneys must self-determine whether a program is eligible for credit and self-report their attendance. The United Institute for Continuing Legal Education believes that its courses meet the requirements of NH Supreme Court Rule 53 and qualify towards the annual NHMCLE requirement. To view our full accreditation details please .

All Courses Available iOS/Android Web

All Courses Available iOS/Android Web

About This Course

A CRS is a new, 2-4 page disclosure document that SEC-regulated firms are required to deliver to their clients. Adopted to help investors understand the various standards of care that apply to their financial professionals (investment advisers vs. broker-dealers vs. dual registrants), as well as potential conflicts of interest which may be intrinsic to a firm’s business practices. It is therefore essential for attorneys who need to refer clients to a financial professional or firm to be aware of your firm’s CRS.

This CLE course, will advise attorneys making referrals regarding how to utilize the CRS in their due diligence process.

The course will offer an overview of the history of CRS including its evolution through investor surveys, regulatory initiatives, and focus groups. The course will present the ins and outs of the CRS, explain when and where it may fall short, identify potential conflicts of interest and evaluate regulatory and disciplinary disclosures. Participants will leave with a firm of understanding of how to utilize the CRS in their due diligence before recommending a financial professional to clients.

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