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To help the government fight the funding of terrorism and money laundering activities, federal law requires 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.
When you open an account, your firm is required to collect the following information:
You may also need to show your driver's license or other identifying documents.
A corporation, partnership, trust or other legal entity may need to provide other information, such as its principal place of business, local office, employer identification number, certified articles of incorporation, government-issued business license, a partnership agreement or a trust agreement.
U.S. Department of the Treasury, Securities and Exchange Commission, 美国金融业监管局, New York Stock Exchange rules already require you to provide most of this information. These rules also may require you to provide additional information, such as your net worth, annual income, occupation, employment information, investment experience and objectives and risk tolerance.
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.
This site is published in the United States for U.S. 居民只. The services offered within this site are available exclusively through our U.S. 财务顾问. 申博菲律宾app 财务顾问 may only conduct business with residents of the states in which they are properly registered. The information on this web site is not an offer to sell or a 征集 of an offer to buy any security, nor shall any such security be offered or sold to any person in any jurisdiction in which such offer, 征集, 购买, or sale may not lawfully be made. References to 申博菲律宾app herein may apply to parent company 申慱sunbet手机版 Corp. or any of its wholly owned subsidiaries, including 申博菲律宾app, Nicolaus & Company, Incorporated, Member 纽交所, 美国金融业监管局, SIPC.