3728. Client complaint file

Or jump to a Series:

    1. A Dealer Member must retain the following information in accordance with section 3786 for each client complaint:

      1. the complainant’s name,

      2. the date of the complaint,

      3. the nature of the complaint,

      4. the name of the individual who is subject of the complaint,

      5. the securities or services which are the subject of the complaint,

      6. the materials reviewed in the investigation,

      7. the name, title and date individuals were interviewed for the investigation, and

      8. the date and conclusion of the decision rendered in connection with the complaint.

    3729. – 3779.  Reserved.

    There is no history log for this rule.

    There is no history log for this rule.