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All confirmations, statements, reports and other documents that are required to be sent to clients under sections 3803 through 3819 must be sent promptly to clients
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The following documents must be sent to retail clients together:
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performance report [section 3810], and
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fee / charge report [section 3811].
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The following documents must be sent to retail clients within 10 days after the client account statement for the monthly or quarterly period ending on the same date is sent:
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report on client positions held outside of the Dealer Member [section 3809], and
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performance report and fee/charge report [sections 3810 and 3811].
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3846. – 3899. Reserved.
There is no history log for this rule.
There is no history log for this rule.