Form CRS & Reg BI
Build and version your relationship summary, prove you delivered it, and track every Reg Best Interest obligation — in one place, ready for an exam.
Delivery Is the Hard Part
The Form CRS rule is as much about proof of delivery as the document itself.
Examiners ask not just for your Form CRS but for evidence you delivered it at the right triggers — and for how you satisfy each Reg BI obligation. Keeping that in spreadsheets is where firms get caught short.
How It Works
From relationship summary to Reg BI evidence
Build your Form CRS
Fill in each required section of the relationship summary in plain language — from services and fees to conflicts and conversation starters.
Version & finalize
Keep working drafts, then mark a version final. Every revision is retained so you can show what was in effect and when.
Log every delivery
Record who received the Form CRS, how, and why — new account, material change, annual, or on request.
Track Reg BI
Work through all four Reg Best Interest obligations as a living checklist, marking each requirement met, in progress, or not applicable.
Key Capabilities
Everything the rule asks you to maintain
Guided Form CRS builder (all required sections)
Draft → final versioning with history
Delivery log with trigger & method
Reg BI obligations checklist
Status & notes on every requirement
Evidence ready for a Reg BI exam
All Four Reg BI Obligations
Tracked as a living checklist
Included on the Professional plan for broker-dealers and dual registrants.
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