06.30.20
SEC Releases Updated FAQ on Form CRS
by: Melanie Waddell
The SEC has updated its frequently asked questions guidance on Form CRS, which advisors and broker-dealers must file with the agency by Tuesday. Along with details on where to file Form CRS, the FAQ provides updates on questions related to broker-dealers as well as dual registrants. The agency states, for instance, that a registered broker-dealer with no retail investors is not required to file a Form CRS.
Read the full article on Think Advisor.