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SEC’s FAQ on Form CRS draws advisor complaints
RIAs and BDs are only allowed to prepare one Form CRS to explain multiple products and services.
Where do clients come from?
If you are an agent or advisor seeking businesses, individuals or organizations as clients, they likely come from about 15 places.
SEC chairman cites fishy letters in support of policy change
Some "ordinary Americans" whose correspondence Clayton referenced said they did not write the letters, or were even unaware of the letters' existence.
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