Effective June 30, 2020, the U.S. Securities and Exchange Commission (“SEC”) enacted Regulation Best Interest (“Reg BI”) which sets forth an additional requirement for certain broker-dealers and/or investment advisors to act in the best interest of retail clients and also provide retail clients with a customer relationship summary or “Form CRS”, which is intended to be a simple, easy to understand summary of the details about a retail clients relationship with Zanbato Securities LLC (“Zanbato”). Zanbato is posting this information to our website to help our clients understand Reg BI and Form CRS, which are summarized below, with additional details available by clicking on the associated links.

Reg BI - establishes a common standard that requires any brokerage firm or investment adviser that makes an investment recommendation to a retail customer to act in your best interest at the time the recommendation is made and must not place its own financial or other interests ahead of your own.

Zanbato Securities LLC’s Regulation Best Interest Disclosure Statement

Form CRS - Under this release, the SEC requires broker-dealers and investment advisors to provide their retail clients with Form CRS as of June 30, 2020 and in certain other instances. Reading a Form CRS can help retail clients make more informed decisions about choosing or continuing to work with Zanbato or another broker or advisor.

Form CRS