Delivery of Investor Brochure

 

 

Rule G-10. (a) Each broker, dealer and municipal securities dealer shall deliver a copy of the investor brochure to a customer promptly upon receipt of a complaint by the customer.

(b) For purposes of this rule, the following terms have the following meanings:

(i) the term "investor brochure" shall mean the publication or publications so designated by the Board, and

(ii) the term "complaint" is defined in rule G-8(a)(xii).

 

• View and Print Investor Brochure

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