BD- Branch Office Customer Complaint Disclosure Form

The Branch Office Customer Complaint Disclosure Form is a useful document for broker-dealer branch offices to use for tracking customer complaints received at the branch office and reporting them to the main office and/or reporting OSJ branch.  The Disclosure Form includes various sections for recording and disclosing customer complaints to include the status and/or resolution of each complaint and corresponding complaint problem codes or disclosure event codes for reporting purposes.

Version/Update: V.2/May 22, 2018

Total Page Count: 7

Source/Author(s): Connexien