12 C.F.R. · Banks and Banking
12 C.F.R. § 151.80

How do I provide a registered broker-dealer confirmation?

Title 12 C.F.R. ● ACTIVE Primary Source
Regulatory Text

12 C.F.R. § 151.80 — How do I provide a registered broker-dealer confirmation?

§ 151.80 How do I provide a registered broker-dealer confirmation? (a) If you elect to satisfy § 151.70 by providing the customer with a registered broker-dealer confirmation, you must provide the confirmation by having the registered broker-dealer send the confirmation directly to the customer or by sending a copy of the registered broker-dealer's confirmation to the customer within one business day after you receive it. (b) Unless you have determined remuneration in a written agreement with the customer, if you have received or will receive remuneration from any source, including the customer, in connection with the transaction, you must provide a statement of the source and amount of the remuneration in addition to the registered broker-dealer confirmation described in paragraph (a) of this section. [76 FR 49008, Aug. 9, 2011, as amended at 82 FR 8110, Jan. 23, 2017]

Source: ecfr.gov · govinfo.gov — public domain Official Source ↗
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12 C.F.R. § 151.80
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The regulatory text of 12 C.F.R. § 151.80 is reproduced from the official Code of Federal Regulations as published by the Office of the Federal Register and the National Archives and Records Administration.
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boisestandard.org United States Law CFR Title 12 12 C.F.R. § 151.80