SEC Charges 21 Registered Investment Advisors and 6 Brokers Dealers
Securities and Exchange Commission (SEC) has fined and charged 21 registered investment advisors and six broker-dealers with failing to timely file and deliver customer relationship summaries, known as Form CRS. The penalties range from $10,000 to approximately $97,500. The SEC approved in June 2019 its four-part package regulations that aim to reform investment advice standards for […]
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