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.
under state and federal laws, including, but not limited to, obligations under the Exchange Act, the Advisers Act, and the respective rules thereunder. Broker-dealers are also subject to disclosure obligations under the rules of self-regulatory organizations. Delivery of the . relationship summary. will not necessarily satisfy
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