3235-AL27 201810 The Regulatory Plan and the Unified Agenda of Federal Regulatory and Deregulatory Actions 3235 Securities and Exchange Commission SEC Form CRS Relationship Summary; Amendments to Form ADV; Required Disclosures to Retail Communications and Restrictions on the use of Certain Names or Titles

The Division is considering making recommendations, jointly with the Division of Trading and Markets, that the Commission adopt new and amended rules and forms under the Investment Advisers Act of 1940 and the Securities Exchange Act of 1934 to (1) require registered investment advisers and registered broker-dealers to provide a brief relationship summary to retail investors and (2) reduce investor confusion in the marketplace for firm services.

]]> Substantive, Nonsignificant Previously Published in The Unified Agenda Final Rule Stage Undetermined No Independent agency 17 CFR 275.211(g)-1 (new) 15 U.S.C. 80b-11(g) No ANPRM 03/07/2013 78 FR 14848 ANPRM Comment Period End 07/05/2013 NPRM 05/23/2018 83 FR 23848 NPRM Comment Period End 08/07/2018 Final Action 09/00/2019 Undetermined None Undetermined www.sec.gov/rules/other/2013/34-69013.pdf No No Emily Russell Division of Trading and Markets 3235 Securities and Exchange Commission SEC 202 551-5500 russelle@sec.gov 100 F Street NE, Washington DC 20549 Holly Hunter-Ceci Division of Investment Management 3235 Securities and Exchange Commission SEC 202 551-6825 hunter-cecih@sec.gov 100 F Street NE, Washington DC 20549