We recognize that the customer – consumer designation is confusing and not one typically used by investment advisers. For almost all intents and purposes, a “customer” is what an investment adviser calls a “client.” Therefore, in this set of Frequently Asked Questions, we will use the designation “customer/client” so that it is clear to investment advisers that the particular issue or requirement being discussed is most likely applicable to the majority of their clients.
Definitions and Basic Information[accordions] [/accordions]
Delivery Requirements[accordions] [/accordions]
Content Requirements[accordions] [/accordions]