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Announcement

Examinations That Focus on Compliance With Form CRS

April 7, 2020

The Office of Compliance Inspections and Examinations is issuing this Risk Alert to provide SEC-registered broker-dealers and investment advisers with information about the scope and content of initial examinations after the compliance date for Form CRS.

View the Risk Alert: Examinations That Focus on Compliance With Form CRS

Last Reviewed or Updated: April 7, 2020