Federal (United States) · Regulations
Subpart B — Content and Timing of Notice
5 sections
5 sections
- 12 C.F.R. § 151.70What type of notice must I provide when I effect a securities transaction for a customer?
- 12 C.F.R. § 151.80How do I provide a registered broker-dealer confirmation?
- 12 C.F.R. § 151.90How do I provide a written notice?
- 12 C.F.R. § 151.100What are the alternate notice requirements?
- 12 C.F.R. § 151.120May I charge a fee for a notice?