 |
Code of Federal Regulations (Last Updated: July 5, 2024) |
 |
Title 12 - Banks and Banking |
|
Chapter I - Comptroller of the Currency, Department of the Treasury |
|
Part 151 - Recordkeeping and Confirmation Requirements for Securities Transactions |
|
Subpart B - Content and Timing of Notice |
§ 151.70 - What type of notice must I provide when I effect a securities transaction for a customer?
Latest version.
-
§ 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.