Search for: "In the Interest of CR"
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16 Jan 2014, 4:22 pm
” The post CRS – Egypt: Background and U.S. [read post]
16 Jun 2016, 4:39 pm
CRS Reports & Analysis Legal Sidebar When Are Violent Crimes Federal Hate Crimes? [read post]
19 Aug 2011, 1:17 pm
, (No. 7-5700), provides an overview and analysis of many of the regulatory impact studies conducted by interest groups that discuss the impact of proposed regulations by U.S. [read post]
16 Jan 2014, 4:28 pm
Interests. [read post]
30 Jan 2017, 5:14 pm
And the Due Process Clause provides that the government may not deprive individuals of this property interest without providing certain procedures…” [read post]
16 Oct 2020, 6:28 am
The purpose of Form CRS is to provide a succinct summary of the business of the Investment Adviser or Broker-Dealer to provide a retail investor with the proper information to make an informed decision regarding whether an investment advisory or brokerage relationship is in the best interest of the investor. [read post]
22 Apr 2020, 6:50 am
Earlier this month the SEC’s Office of Compliance Inspections and Examinations (OCIE) issued two related risk alerts on the subjects of Form CRS and Regulation Best Interest (Reg BI). [read post]
29 Dec 2013, 5:41 am
“ The post CRS – Federal Pollution Control Laws: How Are They Enforced? [read post]
19 Jun 2019, 5:51 am
Regulation Best Interest (Regulation BI), Form CRS and the related rule will become effective 60 days after their publication in the Federal Register. [read post]
28 Feb 2014, 7:19 am
” The post CRS – U.S. [read post]
18 Sep 2018, 9:29 am
They are excellent tools for legal researchers as they provide authoritative and objective information on topics of legislative interest. [read post]
16 Oct 2020, 7:10 am
The Securities and Exchange Commission today announced the agenda and panelists for the October 26, 2020, roundtable where Commission staff and FINRA will discuss initial observations on Regulation Best Interest and Form CRS implementation. [read post]
6 Jun 2019, 9:21 pm
Last month, the Congressional Research Service released this interesting short report titled simply "Marijuana Use and Highway Safety. [read post]
6 Jun 2019, 9:21 pm
Last month, the Congressional Research Service released this interesting short report titled simply "Marijuana Use and Highway Safety. [read post]
16 Oct 2019, 3:00 pm
FINRA released some needed guidance to help firms comply with the new broker investment advice standards and disclosure requirements of Regulation Best Interest and the new client disclosure document Form CRS. [read post]
6 Aug 2019, 8:15 am
Points of interest include the following: senior manager accountability. [read post]
28 Jul 2021, 7:49 am
Firms were required to deliver the Form CRS to prospective and new retail investors by June 30, 2020, and to existing retail clients by July 30, 2020.In each case, the SEC or FINRA contacted the firms after they failed to meet the deadline for filing the Form CRS. [read post]
21 Jun 2012, 10:12 am
CRS Reports are generally well-written and cover a variety of topics. [read post]
14 Jul 2010, 7:00 am
If you are interested in older CRS reports (1970-2008), take a look at Biddle's online catalog, LOLA. [read post]
8 Dec 2019, 3:00 pm
Form CRS will require a firm to provide information about the relationships and services the firm offers to retail investors, fees and costs that retail investors will pay, specified conflicts of interest and standards of conduct, and disciplinary history. [read post]
