Making an Investment: Investors' Bill of Rights

When you invest, you have the right to:

Ask for information about the person handling your account and the firm itself.
Complete information about the risks, obligations, and costs of any investment.
Recommendations consistent with your financial needs and investment Objectives.
Copies of all completed account forms and agreements.
Account statements that are accurate and understandable.
Understand the terms and conditions of transactions you undertake.
Gain access to your funds in a timely manner and receive information about any restrictions or limitations on access.
Discuss account problems with the branch manager or compliance department of the firm and receive prompt attention to and consideration of your concerns.
Complete information about commission, sales charges, penalties, maintenance or service charges, and transactions or redemption fees.
Contact the Attorney General's Office to verify the employment and disciplinary history of a securities salesperson and the salesperson's firm; find out if the
investment is permitted to be sold; or file a complaint.

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