2262. Disclosure of Control Relationship with Issuer
A member controlled by, controlling, or under common control with, the issuer of any security, shall, before entering into any contract with or for a customer for the purchase or sale of such security, disclose to such customer the existence of such control, and if such disclosure is not made in writing, it shall be supplemented by the giving or sending of written disclosure at or before the completion of the transaction.
Amended by SR-FINRA-2009-044 eff. Dec. 14, 2009.
Selected Notice: 09-60.
- Regulatory Notice 09-60October 15, 2009