8.4 Customer Account Statements

In this section

• Frequency and Content Requirements for Customer Account Statements
  Understand the frequency and content requirements for customer account statements in the securities industry, including regulatory guidelines and best practices.
• Holding Client Mail: Compliance and Best Practices
  Explore the regulations and best practices for holding client mail in the securities industry. Understand FINRA Rule 3150 and ensure compliance while maintaining effective client communication.