Jeffrey Kalinowski

Jeffrey Kalinowski

BCLP

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Heads Up! Your Form CRS Grace Period Has Ended: The SEC Drops the Hammer on 27 Firms for Compliance Failures with Form CRS Filing...

In case you were wondering if you can still push off finalizing your Form CRS filing, posting it on your website and delivering it to clients, the SEC has read your mind and answered loudly: no more! On Monday, the SEC...more

7/28/2021  /  Broker-Dealer , Compliance , Enforcement Actions , Filing Requirements , Financial Services Industry , Form CRS , Investment Adviser , Regulation Best Interest , Retail Investors , Securities and Exchange Commission (SEC)
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