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Code of Federal Regulations (Last Updated: November 8, 2024) |
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Title 12 - Banks and Banking |
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Chapter V - Office of Thrift Supervision, Department of the Treasury |
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Part 551 - Recordkeeping and Confirmation Requirements for Securities Transactions |
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Subpart B - Content and Timing of Notice |
§ 551.70 - What type of notice must I provide when I effect a securities transaction for a customer?
Latest version.
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§ 551.70 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 § 551.80, or the written notice described at § 551.90. For certain types of transactions, you may elect to provide the alternate notices described in § 551.100.