Making an Investment: Investors' Bill of Rights

When you invest, you have the right to:

  • Ask for information about the person handling your account and the firm itself.
  • Complete information about the risks, obligations, and costs of any investment.
  • Recommendations consistent with your financial needs and investment Objectives.
  • Copies of all completed account forms and agreements.
  • Account statements that are accurate and understandable.
  • Understand the terms and conditions of transactions you undertake.
  • Gain access to your funds in a timely manner and receive information about any restrictions or limitations on access.
  • Discuss account problems with the branch manager or compliance department of the firm and receive prompt attention to and consideration of your concerns.
  • Complete information about commission, sales charges, penalties, maintenance or service charges, and transactions or redemption fees.
  • Contact the Attorney General's Office to verify the employment and disciplinary history of a securities salesperson and the salesperson's firm; find out if the
    investment is permitted to be sold; or file a complaint.
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