What type of notice must I provide when I effect a securities transaction for a customer?

  1. Law
  2. CFR 12
  3. Banks and Banking
  4. Comptroller of the Currency, Department of the Treasury
  5. Recordkeeping and Confirmation Requirements for Securities Transactions
  6. Content and Timing of Notice
  7. What type of notice must I provide when I effect a securities transaction for a customer?

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§ 151.70 What type of notice must I provide when I effect a securities transaction for a customer?

If you effect a securities transaction for a customer, you must give or send the customer the registered broker-dealer confirmation described at § 151.80, or the written notice described at § 151.90. For certain types of transactions, you may elect to provide the alternate notices described in § 151.100.


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