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When must broker-dealers provide the first written notice to customers under the Rule relating to the availability of written quarterly reports and of individual order information?

April 26, 2017customers Notice quarterly relating reports rule written

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When must broker-dealers provide the first written notice to customers under the Rule relating to the availability of written quarterly reports and of individual order information?

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A broker-dealer must provide the written notice required by the Rule no later than in its first annual communication in compliance with Exchange Act Rule 11Ac1-3 that is transmitted to customers after its first quarterly report is made available in October 2001.