6 Del. Admin. Code § 200-F-611

Current through Reigster Vol. 28, No. 6, December 1, 2024

Section 200-F-611 - Public Notice of Delaware Registration for Broker-Dealers

(a) Broker-dealers registered under the Act with a place of business in Delaware shall prominently display in the public area of each such place of business in 20 point font or greater in a location visible to all customers and potential customers, a notice stating:

"NOTICE REQUIRED BY LAW

Investment firms and professionals in Delaware must be registered with the Investor Protection Unit of the Delaware Department of Justice. This firm has been so registered. Registration does not mean this business is being endorsed by the Investor Protection Unit.

To check the registration status of any investment firm or professional in Delaware, or to file a complaint with the Investor Protection Unit, please call (302) 577-8424 or e-mail Investor.Protection@delaware.gov."

(b) Upon request the Unit will provide each place of business a sign satisfying this Rule.

6 Del. Admin. Code § 200-F-611

18 DE Reg. 394 (11/1/2014)
18 DE Reg. 575 (1/1/2015)
23 DE Reg. 776 (3/1/2020) (Final)