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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.

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