On April 7, 2020, the U.S. Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) announced that, after the initial June 30, 2020 compliance date to file Form CRS, the OCIE will conduct...more
6/8/2020
/ 401k ,
Broker-Dealer ,
Form ADV ,
Form CRS ,
IARD ,
Individual Retirement Account (IRA) ,
Investment Adviser ,
OCIE ,
Retail Investors ,
SEC Examination Priorities ,
Securities and Exchange Commission (SEC)