Statutes, codes, and regulations
Code of Federal Regulations
Title 17 - COMMODITY AND SECURITIES EXCHANGESChapter II - SECURITIES AND EXCHANGE COMMISSIONPart 249 - FORMS, SECURITIES EXCHANGE ACT OF 1934
Subpart G - FORMS FOR REPORTS TO BE MADE BY CERTAIN EXCHANGE MEMBERS, BROKERS, DEALERS, SECURITY-BASED SWAP DEALERS, AND MAJOR SECURITY-BASED SWAP PARTICIPANTS
Section 249.641 - Form CRS, Relationship Summary for Brokers and Dealers Providing Services to Retail Investors, pursuant to Section 240.17a-14 of this chapter

17 C.F.R. § 249.641

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Section 249.641 - Form CRS, Relationship Summary for Brokers and Dealers Providing Services to Retail Investors, pursuant to Section 240.17a-14 of this chapter

This form shall be prepared and filed by brokers and dealers registered with the Securities and Exchange Commission pursuant to Section 15 of the Act that offer services to a retail investor pursuant to § 240.17a-14 of this chapter.

17 C.F.R. §249.641

84 FR 33630, July 12, 2019
84 FR 33630, 9/10/2019

For FEDERAL REGISTER citations affecting Form CRS, see the List of CFR Sections Affected, which appears in the Finding Aids section of the printed volume and at www.govinfo.gov.