Transcription of Form CRS - SEC
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Example: bachelor of science
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.
the firm’s narrative brochure required by Part 2A of Form ADV, or other regulatory disclosures. In a relationship summary that is delivered in paper format, you may include URL addresses, QR codes, or other means of facilitating access to such information. C. Explanatory or supplemental information included in the relationship summary
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