Series 54: Customer Complaint Recordkeeping Requirements

Taken from our Series 54 Online Guide

Customer Complaint Recordkeeping Requirements

Every municipal advisor must make and keep current a record of all written complaints from customers or persons acting on their behalf. The record must include:

•the complainant’s name, address, and municipal advisory client number or code (if any)

•the date the complaint was received

•the date of the activity that gave rise to the complaint

•the name of the associated person of the municipal advisor identified in the complaint

•a descriptio

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