|When You Invest, You Have the Right to:|
- 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
- Receive complete information about the risks, obligations, and costs of any
investment before investing.
- Receive recommendations consistent with your financial needs and investment
- 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.
- Discuss account problems with the branch manager or compliance department of
the firm and receive prompt attention to and fair consideration of your concerns.
- Receive complete information about commissions, sales charges, maintenance
or service charges, transaction or redemption fees, and penalties.
- Contact your state or provincial securities agency in order 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
Copyright © 1997 by the North American Securities Administrators Association.
the Alabama Securities Commission for inquiries regarding securities
broker-dealers, agents, investment advisors, and investment advisor
representatives, the registration status of securities, to report suspected
fraud, or obtain consumer information:
|Call: 1-800-222-1253 or (334)242-2984
Fax: (334) 242-0240 or (334)353-4690
||Write: Alabama Securities Commission
P.O. Box 304700
Montgomery, AL 36130-4700