12 CFR 151.70
§ 151.70 What type of notice must I provide when I effect a securities transaction for a customer?
United States · 12 CFR — Banks and Banking · Status: effective
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- Citation
- 12 CFR 151.70, § 151.70 What type of notice must I provide when I effect a securities transaction for a customer?, United States, version 1 as recorded 2026-07-09, yourstate.us, https://yourstate.us/provision/43777
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Full text
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.
Legislative history
This is a federal regulation, adopted through agency rulemaking under the Administrative Procedure Act — not enacted by a recorded vote of Congress.