Series 26: Holding Of Customer Mail

Taken from our Series 26 Online Guide

Holding of Customer Mail

A member firm may hold mail for customers that will not be receiving mail at their usual address, provided that the member:

• Receives written instructions from the customer specifying the length of time it wants the firm to hold its mail
• Informs the customer in writing of any alternate methods (such as email or access through the member’s website) that it may use to receive or monitor account activity and obtains the customer’s confirmation that it has received such information
• Verifies at reasonable intervals that the customer’s instructions

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