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IMPORTANT INFORMATION ABOUT PROCEDURES FOR OPENING A NEW ACCOUNT

To help the government fight the funding of terrorism and money laundering activities, Federal law requires all financial institutions to obtain, verify, and record information that identifies each person who opens an account. This notice answers some questions about your firm's Customer Identification Program (CIP).

What types of information will I need to provide?
When you open an account, your firm is required to collect information such as the following from you: your name, address, date of birth, Identification number (for US citizens, this identification number is your Social Security number or your employer identification number, and for non-US citizens, this identification number is your passport number, your alien-identification card number or government issued identification number).  US Department of the Treasury, Securities and Exchange Commission, NASD, and New York Stock Exchange rules already require you to provide additional information, such as net worth, annual income, occupation, employment information, investment experience and objectives, and risk tolerance.

What happens if I don't provide the information requested or my identity can't be verified? Your firm may not be able to open an account or carry out transactions for you. If your firm has already opened an account for you, they may have to close it.

We thank you for your patience and hope that you will support the financial industry's efforts to deny access to America's financial system by terrorists and money launders.

 

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Copyright© 2011-2012 Pinnacle Capital Markets, L.L.C. All rights reserved. All securities offered by Pinnacle Capital Markets, L.L.C. member FINRA (www.finra.org) and SIPC. The risk of loss in electronic trading can be substantial. You should therefore consider whether such trading is suitable for you in light of your circumstances and financial resources. Nothing herein is an offer or solicitation of securities products. Account access, trade executions and system response may be adversely affected by market conditions, quote delays, system performance and other factors.

 

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