Rule G-10 Delivery of Investor Brochure

Rule Approval Notice

The SEC approved amendments to Rule G-10. View the approval notice.

Amendments to Rule G-10 will be effective October 13, 2017. View the new rule.

Delivery of Investor Brochure

(a) Each broker, dealer and municipal securities dealer shall deliver a copy of the investor brochure to a customer promptly upon receipt of a complaint by the customer.

(b) For purposes of this rule, the following terms have the following meanings:

(i) the term "investor brochure" shall mean the publication or publications so designated by the Board, and

(ii) the term "complaint" is defined in rule G-8(a)(xii).