Handling Customer Complaints
Every municipal securities dealer 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 account number
• 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 securities dealer identified in the complaint
• a description of the nature of the complaint
• a description of the action, if any, has been take