B-D settles SEC enforcement case tied to Form CRS

Trade App finally filed Form CRS with the Commission on May 20, 2021, and the firm did not deliver Form CRS to its existing retail investor customers until June 11, 2021. In addition, Trade App failed to post Form CRS on its website until May 17, 2021

To view this content, you need to sign in.


You should only be asked to sign in once. Not the case? Click here


Register now to access this content and more for free.