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Investor rights
& responsibilities
As part of your relationship with your broker and brokerage firm, you have the right to: |
| Be treated fairly
and ethically by your broker and brokerage firm |
| Receive competent
and courteous service and advice (if it’s
provided) at a fair price |
| Know the cost
of commissions and fees associated with your brokerage
account |
| Be given adequate
assistance in defining your goals and tolerance
for risk (if those services are provided) |
| Receive fair consideration
and prompt responses to any problems or complaints
you may have |
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| Along with these rights,
you also have important responsibilities. As an investor,
you have the responsibility to: |
| Read all investment
literature and account statements carefully |
| Make sure your
investments are targeted toward reaching your goals |
| Keep your broker
informed of any changes to your investment goals
and needs |
| Understand the
risk involved in investing |
| Consider the reliability
of information and advice found on the Internet |
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