Series 6: 8.2.2.2. Statements For Regular Periodic Purchases

Taken from our Series 6 Online Guide

8.2.2.2. Statements for Regular Periodic Purchases

For transactions that involve regular periodic purchases of an open-end management company, UIT, individual retirement plan, or money market fund, a written confirmation is not immediately required. However, the broker-dealer must provide the customer with a written statement disclosing the required confirmation information within five business days after the end of each quarterly or mon

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