Code of Federal Regulations (alpha)

CFR /  Title 12  /  Part 551  /  Sec. 551.80 How do I provide a registered broker-dealer confirmation?

(a) If you elect to satisfy Sec. 551.70 by providing the customer with a registered broker-dealer confirmation, you must provide the confirmation by having the registered broker-dealer send the confirmation directly to the customer or by sending a copy of the registered broker-dealer's confirmation to the customer within one business day after you receive it.

(b) If you have received or will receive remuneration from any source, including the customer, in connection with the transaction, you must provide a statement of the source and amount of the remuneration in addition to the registered broker-dealer confirmation described in paragraph (a) of this section.