1. LawStack
  2. Title 17 - Commodity and Securities Exchange
  3. Chapter II - SECURITIES AND EXCHANGE COMMISSION
  4. Part 249 - FORMS, SECURITIES EXCHANGE ACT OF 1934
  5. Subpart G - Forms for Reports To Be Made by Certain Exchange Members, Brokers, Dealers, Security-Based Swap Dealers, and Major Security-Based Swap Participants
  6. 17 CFR § 249.641
17 CFR § 249.641
Form CRS, Relationship Summary for Brokers and Dealers Providing Services to Retail Investors, pursuant to §240.17a-14 of this chapter
April 15, 2021
CFR

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]

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§ 249.640 Form ATS-N, information required of NMS Stock ATSs pursuant to §242.304(a) of this chapter

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