The Financial Industry Regulatory Authority’s new request for digital assets activities adds more confusion to the regulatory environment.
The United States Financial Industry Regulatory Authority, or FINRA, has once again...more
What You Need To Know;
• The Form CRS must be filed with the SEC by June 30, 2020, at the latest.
• All investment advisers, broker-dealers, or dual registrants that service retail investors may now file the Form CRS with the...more
What You Need To Know:
-The implementation date for Reg. BI and Form CRS remains June 30, 2020.
-The SEC’s initial compliance review will be focused on “good-faith efforts.” Firms should make good faith efforts to implement...more