Rule 17a-14 and Form CRS under the Exchange Act

Rule 17a-14 and Form CRS require a broker-dealer that offer services to retail investors to prepare, file with the Commission through WebCRD, post to the broker-dealer’s website (if it has one), and deliver to retail investors a relationship summary. Broker-dealers are required to deliver the relationship summary to both existing customers and new or prospective new customers who are retail investors. The collection of information is necessary to provide broker-dealer customers, prospective customers, and the Commission with information about the broker-dealer and its business, conflicts of interest and personnel. The Commission uses the information to manage its regulatory and examination programs. Retail customers can use the information to determine whether to hire or retain a broker-dealer, as well as what types of accounts and services are appropriate for their needs.

The latest form for Rule 17a-14 and Form CRS under the Exchange Act expires 2029-03-31 and is listed under ICR 202511-3235-004.

Rule 17a-14 and Form CRS under the Securities Exchange Act of 1934

Federal Enterprise Architecture: Economic Development - Financial Sector Oversight