Statutes, codes, and regulations
Code of Federal Regulations
Title 12 - BANKS AND BANKINGChapter I - COMPTROLLER OF THE CURRENCY, DEPARTMENT OF THE TREASURYPart 151 - RECORDKEEPING AND CONFIRMATION REQUIREMENTS FOR SECURITIES TRANSACTIONS
Subpart B - CONTENT AND TIMING OF NOTICE
Section 151.70 - What type of notice must I provide when I effect a securities transaction for a customer?

12 C.F.R. § 151.70

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Current through May 31, 2024
Section 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 .

12 C.F.R. §151.70