12 CFR 151.80
§ 151.80 How do I provide a registered broker-dealer confirmation?
United States · 12 CFR — Banks and Banking · Status: effective
Cite this
- Citation
- 12 CFR 151.80, § 151.80 How do I provide a registered broker-dealer confirmation?, United States, version 1 as recorded 2026-07-09, yourstate.us, https://yourstate.us/provision/43778
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Full text
(a) If you elect to satisfy § 151.70 by providing the customer with a registered broker-dealer confirmation, you must provide the confirmation by having the registered broker-dealer send the confirmation directly to the customer or by sending a copy of the registered broker-dealer's confirmation to the customer within one business day after you receive it.
(b) Unless you have determined remuneration in a written agreement with the customer, if you have received or will receive remuneration from any source, including the customer, in connection with the transaction, you must provide a statement of the source and amount of the remuneration in addition to the registered broker-dealer confirmation described in paragraph (a) of this section.
Legislative history
This is a federal regulation, adopted through agency rulemaking under the Administrative Procedure Act — not enacted by a recorded vote of Congress.