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Writing for Value Walk, Mark Jensen and Ian Roffman Analyze SEC Regulations

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10.18.2019 | Article

Mark Jensen, of counsel in Nutter’s Litigation Department and a member of the firm’s Securities Enforcement and Litigation practice group, and Ian Roffman, chair of the Securities Enforcement and Litigation practice group, wrote an article for Value Walk titled, “The Curious Case of Form CRS.” The piece discusses rules issued by the U.S. Securities and Exchange Commission (SEC) earlier this year to place order to a decades-long saga over regulation of the retail investment marketplace. The third leg of the SEC’s new retail investment regulatory platform is Form CRS, a two- or four-page point-of-sale summary disclosure that the agency hopes will help educate retail investors about the nature and costs of services provided by investment advisors and broker-dealers, according to Mark and Ian. The authors noted Form CRS substantively changes the rules regarding financial conflicts and the standard of conduct.

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