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  • Records

    • BC-2.3.18

      Investment firm licensees must keep sufficient records of real time promotions made by them, or on their behalf by other persons, for CBB's supervision purposes.

      Amended: January 2007

    • BC-2.3.19

      These records should include evidence that clients have been notified in advance and agreed to receive real time promotions, as required under Rule BC-2.3.12.

      Amended: January 2007