SecuritiesandExchangeCommission

Chamberofcommerce (86) · Federal government offices
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U.S.Securities and Exchange Commission protects investors, maintains fair, orderly and efficient markets, and facilitates capital formation. The SEC … See more

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Frequently asked questions

Q:
I am a registered broker-dealer, and I have determined that I have no retail investors to whom I must deliver a relationship summary. Am I required to prepare and file one?
A:
No. If your firm does not have any retail investors to whom it must deliver a relationship summary, you are not required to prepare or file a relationship summary...
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