Customer Account Statements
(Valid through April 10, 2016)
Member firms that conduct a general securities business must send each customer a quarterly account statement containing a description of its securities positions, money balances, and account activity for the period. Each statement must advise the customer to report any inaccuracy or discrepancy in that person’s account promptly to her brokerage firm. It must also advise the customer that any oral communications should be reconfirmed in writing to further protect the customerâ€