BD- Customer Verification of Account Information & Update Form (36-Month Mailer)

The Customer Verification of Account Information & Update Form meets the requirements under SEA Rule 17a-3 whereby a broker-dealer must furnish each customer or owner with a copy of the required account record information or alternative document with all information required by SEA Rule 17a-3(a)(17)(i)(A), including an explanation of any terms regarding investment objectives, for verification within 30 days of account opening and at least once every 36 months thereafter. 

Update: August 21, 2017

Total Page Count: 5

Source/Author(s): Connexien