The securities industry believes that the needs of the investor should always come first. As an investor, you have a right to high quality products and services from the firm you choose. Investors also have a right to the following. Service Investors should be treated in a fair, ethical, and respectful manner in all interactions with the firm and its employees and affiliates. Transactions and Reporting Investors have the right to clear and accurate descriptions of their transactions.
Investors have the right to know commissions and fees associated with their accounts.
An investor s statement should provide timely and accurate account and transactional information and should reflect all positions held. Investors should be provided with their firm s policies and practices for protecting the privacy of nonpublic, personal information. Investors should expect their firm s assistance in helping them clarify their investment goals and risk tolerance. Investors should expect their firm s assistance in setting realistic expectations about the long-term performance and associated risk of different securities. Investors should be provided with responsible investment recommendations based on their objectives, time horizon, risk tolerance, and other factors they disclose.