Financial Professional Relationship Feedback Summary
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.