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Regulation Best Interest Form CRS Related Advisers Act Interpretations VISUAL MEMORANDUM June 21, 2019 2019 Davis Polk & War dwell LLP | 450 Lexington Avenue | New York, NY 10017 This communication,
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The SEC adopts regulations to establish rules and standards for the securities industry.
All entities in the securities industry are required to comply with the SEC regulations.
Securities entities must follow the instructions provided by the SEC to complete the filing process.
The purpose of SEC adopting regulations is to maintain fair and efficient markets, protect investors, and promote capital formation.
Entities must report financial information, business activities, and compliance with SEC rules.
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