3845. Timing of the sending of documents to clients

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    1. 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

    2. The following documents must be sent to retail clients together:

      1. performance report [section 3810], and

      2. fee / charge report [section 3811].

    3. 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:

      1. report on client positions held outside of the Dealer Member [section 3809], and

      2. performance report and fee/charge report [sections 3810 and 3811].

    3846. – 3899. Reserved.

    There is no history log for this rule.

    There is no history log for this rule.