Code of Federal Regulations (alpha)

CFR /  Title 12  /  Part 551  /  Sec. 551.70 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 Sec. 551.80, or the written notice described at Sec. 551.90. For certain types of transactions, you may elect to provide the alternate notices described in Sec. 551.100.