Series 7: 11.3.7. Holding Customer Mail

Taken from our Series 7 Online Guide

11.3.7. Holding Customer Mail

If a customer will not be available to receive mail from the member firm, the firm may hold the customer’s mail if these conditions are met:

• The customer requests it in writing. The written request must specify how long the mail is to be held.

• Mail can be held for a maximum of three months (total, not per request) unless the customer’s written request specifies a legitimate reason why the

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