Rights of the Investor

Ask for and receive information from a firm about the work history and background of the person handling your account, as well as information about the firm itself.

Receive complete information about the risks, obligations, and costs of any investment before investing.

Receive recommendations consistent with your financial needs and investment objectives.

Receive a copy of all completed account forms and agreements.

Receive account statements that are accurate and understandable.

Understand the terms and conditions of transactions you undertake.

Access your funds in a timely manner and receive information about any restrictions or limitations on access.

Receive complete information about maintenance or service charges, transaction or redemption fees, and penalties.

Discuss your grievances with compliance officer of the firm and receive prompt attention to and fair consideration of your concerns.