Content and Timing of Notice

  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

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Section
151.70

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

Section
151.80

How do I provide a registered broker-dealer confirmation?

Section
151.90

How do I provide a written notice?

Section
151.100

What are the alternate notice requirements?

Section
151.120

May I charge a fee for a notice?