US EditionRegulus Financial Group Fined by FINRA Over Form CRS Failures
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Regulus Financial Group Fined by FINRA Over Form CRS Failures
The fine is for failing to disclose disciplinary history in key customer documentation, according to a Letter of Acceptance, Waiver, and Consent, published by FINRA. The violations relate to Regulus’s failure to properly complete and update its Form CRS, a customer relationship summary mandated by the U.S. Securities and Exchange Commission (SEC) to promote transparency with retail investors. From May 2021 to February 2024, Regulus reportedly d…
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