File No. S7-08-18

U.S. Securities and Exchange Commission

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:

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.

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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Contact Info


    1. a. Type of Relationship and Service
    1. b. Our Obligations to You
    1. c. Fees and Costs
    1. d. Comparison to different account types
    1. e. Conflict of Interests
    1. f. Additional Information
    1. g. Key Questions to Ask
    1. a. Do you find the format of the Relationship Summary easy to follow?
    1. b. Is the information in the appropriate order?
    1. c. Is the Relationship Summary easy to read?
    1. d. Should the Relationship Summary include additional information about different account types?
    1. e. Would you seek out additional information about a firm's disciplinary history as suggested in the Relationship Summary?

We will post your feedback on our website. Your submission will be posted without change; we do not redact or edit personal identifying information from submissions. You should only make submissions that you wish to make available publicly.

Thank You!

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Other Ways to Submit Your Feedback

You also can send us feedback in the following ways (include the file number S7-08-18 in your response):

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Securities and Exchange Commission
100 F Street, NE
Washington, DC 20549-1090

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Securities and Exchange Commission
100 F Street, NE
Washington, DC 20549-1090

File No. S7-08-18