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SEC RIN: 3235-AL27 Publication ID: Fall 2019 
Title: Form CRS Relationship Summary; Amendments to Form ADV; Required Disclosures to Retail Customers and Restrictions on the Use of Certain Names or Titles  
Abstract:

The Commission adopted 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.

 
Agency: Securities and Exchange Commission(SEC)  Priority: Substantive, Nonsignificant 
RIN Status: Previously published in the Unified Agenda Agenda Stage of Rulemaking: Completed Actions 
Major: Yes  Unfunded Mandates: No 
EO 13771 Designation: Independent agency 
CFR Citation: 17 CFR 275.211(g)-1 (new)   
Legal Authority: 15 U.S.C. 80b-11(g)    15 U.S.C. 78c    15 U.S.C. 78j    15 U.S.C. 78o    15 U.S.C. 78o(c)(6)    15 U.S.C. 78o(l)    15 U.S.C. 78q    15 U.S.C. 78w    15 U.S.C. 78mm   
Legal Deadline:  None
Timetable:
Action Date FR Cite
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  07/12/2019  84 FR 33492   
Final Action Effective  09/10/2019 
Regulatory Flexibility Analysis Required: Yes  Government Levels Affected: None 
Small Entities Affected: Businesses  Federalism: No 
Included in the Regulatory Plan: No 
RIN Information URL: www.sec.gov/rules/other/2013/34-69013.pdf  
RIN Data Printed in the FR: Yes 
Agency Contact:
Emily Russell
Division of Trading and Markets
Securities and Exchange Commission
100 F Street NE,
Washington, DC 20549
Phone:202 551-5500
Email: russelle@sec.gov

Jennifer Porter
Division of Investment Management
Securities and Exchange Commission
100 F Street NE,
Washington, DC 20549
Phone:202 551-6739
Email: porterj@sec.gov