Rights of Investors
>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 itself.
>Receive complete information about the risks, obligations, and costs of any investment before investing.
>Receive recommendations consistent with your financial needs and investment objectives.
>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.
>Receive complete information about maintenance or service charges, transaction or redemption fees, and penalties.
>Discuss your grievances with compliance officer of the firm and receive prompt attention to and fair consideration of your concerns.