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Form CRS
Form CRS enforcement actions continue to be brought as the industry approaches the five-year anniversary of the form's June 30, 2020 compliance date
WSPs discussed Reg BI in general terms, but did not drill down on certain specific provisions
ACP Securities didn't disclose employee's disciplinary history, FINRA claims
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