Rating: 1 Posted By: baplus8 Views: 117 Replies: 2 I came across brokerage firms with national reach in the US who send letters to individual account holders requesting updated personal information: contact info, occupation, investment preferences, income, net worth, etc.One firm cited the "SEC Books and Records rule."I believe these letters to be misleading account holders.
Comment on SEC rule for brokers to "verify information" every 3yrs/36mos?
Fatwallet.com Finance, FatWallet.com: Finance
Fri, 01/06/2017 - 7:12pm
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