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.