4208. Disclosures available to clients

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    1. A Dealer Member must state on each account statement sent to clients, or in another manner IIROC approves, that:

      1. its summary statement of financial position, and

      2. list of Executives and Directors,

    2. are available on request to any client who has traded in his or her account within the previous 12 months.

    There is no history log for this rule.