Form CRS

Vistia Capital did not timely amend its Form CRS to disclose that one of its financial professionals had disciplinary history as required

The case offers the lesson that you cannot leave sections of your WSPs essentially blank

Reg BI and Form CRS failures lead to penalty for Texas-based broker-dealer

The Commission has released a new set of 10 FAQs tied to the short disclosure form that investment advisers and broker-dealers must share with their ...

These new FAQs were released in December 2023

Broker-dealer failed to disclose that "a number of its financial professionals" had a legal or disciplinary history

The Commission's 2024 examination priorities report reveals that examiners will be scrutinizing the content of a broker-dealer's relationship summary

The firm's revised P&Ps now require reps to request oral consent to electronic delivery from customers using a consent and disclosure script. If a customer ...

Nearly a half-dozen FINRA enforcement actions tied to Form CRS signal SRO's emphasis on the disclosure form

Charges included failing to adopt reasonably designed compliance P&Ps, not conducting annual reviews, not establishing a code of ethics, and not filing Form CRS