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A Dealer Member must retain the following information in accordance with section 3786 for each client complaint:
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the complainant’s name,
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the date of the complaint,
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the nature of the complaint,
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the name of the individual who is subject of the complaint,
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the securities or services which are the subject of the complaint,
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the materials reviewed in the investigation,
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the name, title and date individuals were interviewed for the investigation, and
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the date and conclusion of the decision rendered in connection with the complaint.
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3729. – 3779. Reserved.
There is no history log for this rule.
There is no history log for this rule.