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1/4/22, 9:18 PM SEC.gov | Staff Statement Regarding Form CRS DisclosuresStatementStaff Statement Regarding Form CRS Disclosures Standards of Conduct Implementation Committee Dec. 17, 2021 [1]Form

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What is sec staff statement highlights?

SEC staff statement highlights are key points summarizing the positions taken by the SEC staff on various regulatory and compliance issues.

Who is required to file sec staff statement highlights?

Firms regulated by the SEC, such as investment advisors and broker-dealers, may be required to file sec staff statement highlights.

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SEC staff statement highlights can be filled out electronically through the SEC's online filing system, following the instructions provided.

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The purpose of sec staff statement highlights is to provide transparency and guidance to regulated firms on regulatory and compliance issues.

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Sec staff statement highlights must include details on the positions taken by the SEC staff, any required disclosures, and any actions taken by the firm in response.

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