INVESTORS RIGHTS AND RESPONSIBILITIES

As part of your relationship with your broker and brokerage firm, you have the right to:
Be treated fairly and ethically by your broker and brokerage firm
Receive competent and courteous service and advice (if it’s provided) at a fair price
Know the cost of commissions and fees associated with your brokerage account
Be given adequate assistance in defining your goals and tolerance for risk (if those services are provided)
Receive fair consideration and prompt responses to any problems or complaints you may have
Along with these rights, you also have important responsibilities. As an investor, you have the responsibility to:
Read all investment literature and account statements carefully
Make sure your investments are targeted toward reaching your goals
Keep your broker informed of any changes to your investment goals and needs
Understand the risk involved in investing
Consider the reliability of information and advice found on the Internet