Regulations last checked for updates: May 16, 2024

Title 17 - Commodity and Securities Exchanges last revised: May 01, 2024
All TitlesTitle 17Chapter IIPart 249Subpart G - Subpart G—Forms for Reports To Be Made by Certain Exchange Members, Brokers, Dealers, Security-Based Swap Dealers, and Major Security-Based Swap Participants
View all text of Subpart G [§ 249.617 - § 249.641]
§ 249.641 - Form CRS, Relationship Summary for Brokers and Dealers Providing Services to Retail Investors, pursuant to 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.

[84 FR 33630, July 12, 2019] Editorial Note: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.
authority: 15 U.S.C. 78a
cite as: 17 CFR 249.641
© 2014 CustomsMobile | Disclaimer | Privacy | About