Series 53: Investors At The Same Address

Investors at the Same Address

If two or more investors in a security occupy the same address, broker-dealers may provide that address with a single set of documents if the investors are addressed as a group (Joe Smith and household) and if the investors consent in writing to a single set of documents. Explicit consent is not required, however, if the investors are provided with 60 days’ notice and the notice contains this information:

• • A toll-free tel