Series 26: Customer Complaint Records

Taken from our Series 26 Online Guide

Customer Complaint Records

Broker-dealers must keep a record of each written customer complaint they receive concerning an associated person. The record must include:

  • • Complainant’s name, address, and account number
  • • Date the complaint was received
  • • Name of any other associated person identified in the complaint
  • • Desc

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Solomon Exam Prep Study Materials for the Series 26
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