Series 14: 8.4.4. Customer Complaints—Municipal Securities Dealers

Taken from our Series 14 Online Guide

8.4.4. Customer Complaints—Municipal Securities Dealers

Every dealer must make and keep current a record of all written complaints from customers or persons acting on its behalf. A complaint is defined as any written statement alleging a grievance involving the activities of the dealer or associated person related to a customer’s account. The record of the complaint must also include any actions taken by the dealer in response to the complaint.

Annually, a municipal securities dealer must provide its customers with an annual notice containing instructions on how obtain an MSRB investor brochure expla

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