SEC-Required Report for the Most Recent Quarterly Period
In Accordance with SEC Rule 606 (Formerly Rule 11Ac1-6)
For Latest Order Report Click Here
Mutual Fund Breakpoint Disclosure Statement
Brokers/dealers should provide to each investor a disclosure
statement at the time of or prior to the confirmation
of his initial purchase of front-end load fund shares.
Thereafter, the statement should be provided to investors
in front-end load fund shares either on a periodic
basis (but not less frequent than annually) or at (or
prior to) the time of confirmation of subsequent purchases
of front-end shares.
 Mutual
Fund Disclosure Statement PDF
Customer Identification Program Notice
In accordance with Section 326 of the USA PATRIOT
Act of 2001 and NASD Rule 3011, the Firm has established
a customer identification program (CIP) that is part of its overall AML
compliance program. As
part of the CIP requirement, the Firm has provided
the following Customer Identification Program Notice regarding important
information you need
to know about opening a new account.
CIP
Notice PDF
Business Continuity Plan Disclosure Policy
On April 7, 2004, the Securities and Exchange Commission
(SEC) approved the new NASD Rule 3500 Series, which requires NASD broker/dealers
to establish emergency preparedness plans and procedures (business continuity
planning) that must disclose to its customers how it addresses the possibility
of a future significant business disruption and how the firm plans to
respond to events of varying scope.
Business
Continuity Plan Disclosure Policy PDF
|
