Series 54: 3.3.1. Customer Complaint Recordkeeping Requirements

Taken from our Series 54 Online Guide

3.3.1. 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 muni

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