Series 53: 3.2.4. Handling Customer Complaints

3.2.4. 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