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(1) Each broker-dealer and investment adviser licensed to manage a portfolio of securities shall maintain a complaints register in which shall be recorded the complaints received from clients.

(2) Each complaint shall be given a number and details of action taken on the complaint shall be recorded in the complaints register.

(3) The complaints register shall be maintained and kept in the custody of the compliance officer and shall be made available for inspection at the request of the Commission or the stock exchange of which the broker-dealer is a member.

(4) The compliance officer shall notify the Commission of any complaint which remains unresolved after a period of 30 days from the date of receipt of the complaint.