1. Regulations
  2. title 12
  3. chapter I
  4. part 151
  5. subpart B
  6. § 151.70

View all text of Subpart B [§ 151.70 - § 151.120]

§ 151.70 - 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 § 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.

AUTHORITY: 12 U.S.C. 1462a, 1463, 1464, 5412(b)(2)(B).

SOURCE: 76 FR 49008, Aug. 9, 2011, unless otherwise noted.

CITE AS: 12 CFR 151.70