StacksVerified U.S. regulatory reference

17 CFR §249.641

Verified against eCFR.gov as of June 20, 2026View official text on eCFR.gov ↗
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.