---
kind: "section"
citation: "12 C.F.R. § 151.70"
title: "12"
number: "151.70"
heading: "What type of notice must I provide when I effect a securities transaction for a customer?"
url: "https://uscodex.org/cfr/12/151.70"
---

# §151.70. What type of notice must I provide when I effect a securities transaction for a customer?


If you effect a securities transaction for a customer, you must give or send the customer the registered broker-dealer confirmation described at [§ 151.80](/cfr/12/151.80.md), or the written notice described at [§ 151.90](/cfr/12/151.90.md). For certain types of transactions, you may elect to provide the alternate notices described in [§ 151.100](/cfr/12/151.100.md).


## Notes

### Authority

Authority: 12 U.S.C. 1462a, 1463, 1464, 5412(b)(2)(B).

### Source

Source: 76 FR 49008, Aug. 9, 2011, unless otherwise noted.