SIE: 8.1.5. Form CRS

Taken from our SIE Online Guide

8.1.5. Form CRS

Broker-dealers and investment advisers are required to deliver a 1-2 page summary of their relationship with a customer or client when they on-board a new customer or client. The information is summarized in a question and answer format on a required document called Form CRS. New customers should receive a copy of Form CRS at the beginning of the relationship, so that the form can be used to compare broker-dealers and investment advisors. Form CRS must contain information about:

• The relationship and services

• Fees and costs

• Conflicts of interest

• Standar

+ Read More

More SIE Info

What are people saying?

Create an Account

Since you're reading about SIE: 8.1.5. Form CRS, you might also be interested in:

Series 65 - Shareholder Voting Rights

Series 24 - 1.2.3.1. Form U4

Series 7 - 13.2. Reporting Requirements

Series 52 - 4.5.7. Maturity

Series 66 - 3.6.4.4. Deferred Annuity/Surrender Periods

Series 63 - Registration by Coordination

Series 79 - 11.2.4. Identifying Regulatory Issues

Series 14 - 4.1.1.3. Subordinated Debt

Series 24 - Issuer Reports

Series 52 - 7.4.3.2. Open Market Trading Desk

Series 14 - 9.1.2.5. Sales Literature Deemed Misleading

Series 65 - 2.15.2 Revenue Bonds

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

I passed first try on the SIE. Thanks to Solomon! The exam simulator is super helpful for prepping for test day.

William Windham, Solebury. Brooklyn, NY

Solomon Exam Prep materials are head and shoulders above any other company's products. I have purchased several other companies' materials and found that when it came time to take the crucial step of practice exams, every other company's answer explanations simply were too brief to be truly educational, or worse, sometimes contradictory to the text. That is when I turned to Solomon Exam Prep. After purchasing their materials, an actual team member emailed me almost every other day to ask how I was doing with my studying and offered assistance if I had questions. With this kind of support, you aren't trying to climb the mountain of becoming licensed alone! Finally, the owner also contacted me several times to thank me for my purchase and to check on my progress. There is no other company out there doing business in this exemplary way. Please be kind to yourself and START with Solomon Exam Prep materials for the BEST of success!

Rebecca Spadafore - Financial Advisor, LPL Financial. Meadville/Erie Area, PA SIE, Series 7, Series 66

I came into my studies with very little experience. With the amazing help and support from the Solomon Team I passed the SIE on my first attempt. I am extremely grateful for the study material that Solomon has provided. I am onto the 7 TO.

Wc Harbert, RBC. Eugene, OR

I just want to thank Solomon Exam Prep for a great semester! We taught this curriculum at Widener University for the first time. The Solomon team was great to work with! Always available, very responsive and eager to help. The online offering is very comprehensive and we didn't miss a beat when we switched to remote learning. The QwizBang game was a big hit with the students (although more fun when we were all in the same room.) I can't thank them enough for all that they have done.

Maggie Creed, Widener University, Chester, PA

Passed SIE today! The tools and layout here was instrumental in my success. On to the S7...

Ronald Adams Northwestern Mutual Milwaukee, WI

Solomon Exam Prep was very thorough and prepared me not only for the SIE, but the practice questions were so in-depth I now feel prepared for the Series-7 top-off as well.

Steven Laesser, Raymond James, Saint Petersburg, FL