§ 151.80. How do I provide a registered broker-dealer confirmation?
129 words·~1 min read·
/us/cfr/t12/s§ 151.80·A research copy — for the controlling text, always check the official state or federal source. Not legal advice.
(a)If you elect to satisfy § 151.70 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)Unless you have determined remuneration in a written agreement with the customer, 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. [76 FR 49008, Aug. 9, 2011, as amended at 82 FR 8110, Jan. 23, 2017]
Connections6 cite this
Citation graph
cites case law
§ 151.80
How do I provide a registered broker-dealer confirmation?
Fed. Reg.×6
Cites 0Cited by 6 across 1 source