1. LawStack
  2. Title 12 - Banks and Banking
  3. Chapter I - COMPTROLLER OF THE CURRENCY, DEPARTMENT OF THE TREASURY
  4. Part 151 - RECORDKEEPING AND CONFIRMATION REQUIREMENTS FOR SECURITIES TRANSACTIONS
  5. Subpart B - Content and Timing of Notice
  6. 12 CFR § 151.70
12 CFR § 151.70
What type of notice must I provide when I effect a securities transaction for a customer?
November 10, 2020
CFR

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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§ 151.80 How do I provide a registered broker-dealer confirmation?

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