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U.S. Securities and Exchange Commission

Complaints: What To Do

Find out how you should handle a complaint about your investments and against your broker or investment adviser.

http://www.sec.gov/answers/compl.htm

We have provided this information as a service to investors. It is neither a legal interpretation nor a statement of SEC policy. If you have questions concerning the meaning or application of a particular law or rule, please consult with an attorney who specializes in securities law.

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Modified:11/30/1999