File No. S7-08-18
Your Relationship with Your Financial Professional: Feedback on the Relationship Summary
We would like to know what you think about a proposed Relationship Summary that describes your relationship with your investment adviser or your broker-dealer (your firm) and your financial professionals. This document summarizes:
- the services the firm offers and the types of fees and costs associated with those services;
- the firm's obligations to you;
- certain conflicts of interest;
- how to find additional information about the firm and its financial professionals and research disciplinary history for the firm or its financial professionals;
- how to report a problem with your investments, investment account or a financial professional; and
- some questions to ask your financial professional to get more information.
It is important to us at the SEC to understand what you, the investor, think so that we can make it easier for you to choose the type of investment services relationship that is right for you. We prepared sample Relationship Summaries to illustrate what they may look like.
- Sample Relationship Summary for a broker-dealer
- Sample Relationship Summary for an investment adviser
- Sample Relationship Summary for firms that are both an investment adviser and broker-dealer
Please take a few minutes to review one or more of the samples and answer any or all of these questions. Thank you for your feedback!
If you are interested in background information on the proposed Relationship Summary, or want to provide feedback on additional questions, click here.
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