Client Communications

The relief in this letter was due to expire Sept. 30, 2015. The topic relates to a broker-dealer's ability to obtain customer written consent prior ...

OCIE examiners have long been interested in undisclosed conflicts and reimbursement relationships. Missteps over disclosing these relationships have led to another enforcement settlement in which ...

(a) Monthly statements. Each futures commission merchant must promptly furnish in writing to each customer, and to each foreign futures or foreign options customer, as ...

(a)(1) Except as provided in 1.65, no futures commission merchant, or in the case of an introduced account no introducing broker, may open a commodity ...

(a) Notice and Disclosure to Customers. (1) Prior to transferring a customer account to another futures commission merchant or introducing broker other than at the ...

(a) Except as provided in paragraph (a)(4) or (a)(6) of this section, each commodity pool operator registered or required to be registered under the Act ...

Except as otherwise provided herein, a Disclosure Document must include the following information. (a) Cautionary Statement. The following Cautionary Statement must be prominently displayed on ...

(a) Each commodity trading advisor registered or required to be registered under the Act must deliver or cause to be delivered to a prospective client ...

(a) Monthly statements. Each retail foreign exchange dealer or futures commission merchant must promptly furnish in writing to each retail forex customer, as of the ...

(a)(1) General rule. Except as provided by paragraph (d) of this section, you must provide a clear and conspicuous notice to customers that accurately reflects ...