Series 27: Customer Disclosure Requirements

Taken from our Series 27 Online Guide

Customer Disclosure Requirements

If a customer requests it, a member firm must provide the financial information contained in its most recent balance sheet. The firm may deliver the balance sheet directly to the customer in

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Since you're reading about Series 27: Customer Disclosure Requirements, you might also be interested in:

Series 24 - Transfer on Death (TOD) Accounts

Series 65 - Redemption of Mutual Fund Shares

Series 66 - 1.2.1.5. Internal Rate of Return (IRR)

Series 7 - 18.4.1.6. Release of Disciplinary Complaints and Decisions

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