Series 99: 2.1.2 Customer Account Statements

Taken from our Series 99 Top-off Online Guide

2.1.2 Customer Account Statements

A customer statement, or account statement, is a monthly, quarterly, and/or annual summary of a customer’s trading activity, positions, and account balance. If there is activity in the customer’s account, the account statement must be sent at least quarterly. Reportable activity includes any or all of the following:

• Purchases and sales of securities
• Dividends and interest received
• Deposits and withdrawals of cash or securities
• Margin interest charged in a margin account

Even if a customer has done no trading during the reporting period, th

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