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 municipal advisor identified in the complaint
• A description of