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Form CRS: Practical Considerations for Attorneys

SKU: SEC044
General Credits
1
Price$50
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Description

Every attorney who is in the position of referring a client to a financial professional or firm needs to be aware of the firm's CRS, a new 2- to 4-page disclosure document that SEC-regulated firms must deliver to their clients.

The CRS was adopted to help investors understand the different standards of care that apply to their financial professionals (investment advisers vs. broker-dealers vs. dual registrants), as well as conflicts of interest embedded in the firm's way of doing business.

This CLE program will help lawyers who are in the position of making referrals to better understand how to use the CRS in their due diligence process.

Learning Objectives:

  • I. Understand what led to the adoption of the CRS, including investor surveys, regulatory initiatives, and focus groups
  • II. Review the CRS, how the CRS is organized, and when to go beyond the CRS
  • III. Identify conflicts of interest
  • IV. Evaluate regulatory and disciplinary disclosures
  • V. Utilize the CRS in your due diligence before recommending a financial professional to clients

Lecturer Bio

Julie Jason, JD, LLM

Julie Jason, JD, LLM practiced law for ten years before moving into money management positions on Wall Street, later founding Jackson, Grant Investment Advisers, Inc. of Stamford, CT. Her team at Jackson, Grant manages personal portfolios for high-net-worth and ultra-high-net worth families. Jackson, Grant is an independent SEC-registered investment advisory boutique serving clients as their investment counsel. www.jacksongrant.us.

A proponent of financial literacy education for individuals of all financial means, Jason writes and lectures to share practical insights from both broker-dealer and investment adviser perspectives.

She is the author of The Discerning Investor: Personal Portfolio Management in Retirement for Lawyers (and Their Clients), published in 2022 by, and available only through, the American Bar Association. Her previous books and columns were recognized for excellence in financial literacy education (EIFLE Award and CLARION Award, among others). Her books are listed on www.juliejason.com.

She encourages questions and comments. Phone (203-322-1198) | Email (julie@jacksongrant.us).

National Academy of Continuing Legal Education is an accredited sponsor of CLE across the United States. To view our full accreditation details, please click here.


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