SEC Charges 27 Financial Firms for Form CRS Filing and Delivery Failures
- Written by Newsfile
Washington, D.C.--(Newsfile Corp. - July 26, 2021) - The Securities and Exchange Commission today announced that 21 investment advisers and 6 broker-dealers have agreed to settle charges that they failed to timely file and deliver their client or customer relationship summaries – known as Form CRS – to their retail investors.
On June...
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