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Jun 17 2011 - May 13 2018May 14 2018 onwards

2232. Customer Confirmations

This version is valid from Jun 17 2011 through May 13 2018.
Amendments have been announced but are not yet effective. To view other versions open the versions tab on the right.

(a) A member shall, at or before the completion of any transaction in any security effected for or with an account of a customer, give or send to such customer written notification ("confirmation") in conformity with the requirements of SEA Rule 10b-10.
(b) A confirmation given or sent pursuant to this Rule shall further disclose:
(1) with respect to any transaction in any NMS stock, as defined in Rule 600 of SEC Regulation NMS, or any security subject to the reporting requirements of the FINRA Rule 6600 Series, other than direct participation programs as defined in FINRA Rule 6420, the settlement date of the transaction; and
(2) with respect to any transaction in a callable equity security, that:
(A) the security is a callable equity security; and
(B) a customer may contact the member for more information concerning the security.
Adopted by SR-FINRA-2009-058 eff. June 17, 2011; amended by SR-FINRA-2010-066 eff. June 17, 2011.

Selected Notice: 10-62.

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