12 C.F.R. § 551.70 What type of notice must I provide when I effect a securities transaction for a customer?
Title 12 - Banks and Banking
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.
Title 12: Banks and Banking
PART 551—RECORDKEEPING AND CONFIRMATION REQUIREMENTS FOR SECURITIES TRANSACTIONS
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?
