Transcription of Form CRS - SEC
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Form CRS - SEC
UNITED STATES SECURITIES AND EXCHANGE COMMISSION FORM CRS Sections 3, 10, 15, 15(c)(6), 15(l), 17, 23, and 36 of the Securities Exchange Act of 1934 ( Exchange Act ) and section 913(f) of Title IX of the Dodd-Frank Act authorize the Commission to require the collectio n of the information on Form CRS from brokers and dealers. See 15 78c, 78j, 78o, 78o(c)(6), 78o(l), 78q, 78w and 78mm. Filing Form CRS is mandatory for every broker or dealer registered with the Commission pursuant to section 15 of the Exchange Act that offers services to a retail investor. See 17 CFR Intentional misstatements or omissions constitute federal criminal violations (see 18 1001 and 15 78ff(a)). The Commission may use the information provided in Form CRS to manage its regulatory and examination programs.
on their use and interpretation. 4. Formatting for Conversation Starters, Additional Information, and Standard of Conduct. A. For the “conversation starters” required by Items 2, 3, 4, and 5 below, you must use text features to make the conversation …
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