FINANCIAL INDUSTRY REGULATORY AUTHORITY, INC.
Auerbach Grayson and Company LLC is a member of FINRA, the Financial Industry Regulatory Authority, Inc. The main FINRA telephone number is (301) 590-6500 and the website address is www.finra.org.
SECURITIES INVESTOR PROTECTION CORPORATION
Auerbach Grayson and Company LLC is a member of Securities Investor Protection Corporation (“SIPC”). The SIPC telephone number is (202) 371-8300 and the website address is www.sipc.org
CUSTOMER COMPLAINTS SHOULD BE DIRECTED TO THE FOLLOWING:
Customer Complaints Any customers complaint with regard to this account can be directed to the, Compliance Department, Auerbach Grayson & Company , 25W 45th Street, NY, NY 10036, 212-453-3516.
Customer Identification Program
IMPORTANT INFORMATION YOU NEED TO KNOW ABOUT OPENING A NEW ACCOUNT
Important Information you need to know about 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 or entity that opens an account.
This notice answers some questions about AGCO’s Customer Identification Program.
WHAT TYPES OF INFORMATION WILL I NEED TO PROVIDE?
When you open account at AGCO., we are required to collect the following information:
– Legal name
– Business address
– Corporation, partnership, or, certified articles of incorporation
– Tax identification number
– Other information that will allow us to identify you
We may request additional identifying documents, such as principal place of business, local office, employer identification number, certified articles of incorporation, government-issued business license, partnership agreement or trust agreement.
U.S. Department of the Treasury, Securities and Exchange Commission, FINRA and New York Stock Exchange rules already require you to provide most of this information. These rules also may require you to provide additional information.
WHAT HAPPENS IF YOU DON’T PROVIDE THE INFORMATION REQUESTED OR YOUR INSTITUTION’S IDENTITY CAN’T BE VERIFIED?
AGCO may not be able to open an account or carry out transactions for your firm. If AGCO has already opened an account for your firm, we may have to close it.
We thank you for your patience and hope that you will support the financial industry’s efforts to deny terrorists and money launderers access to America’s financial system
Rule 606 Reporting
Rule 606 requires broker-dealers that route customer orders in equities and option securities to publish quarterly reports that provide a general overview of their routing practices. In this report, the venues to which non-directed customer orders in U.S. exchange-listed equity securities and options were routed for execution must be disclosed, as well as the nature of any relationship the broker-dealer has with each venue. The purpose of this report is to provide the public with information on how broker-dealers route orders, enable the evaluation of order routing practices and foster competition among market participants. Upon request, broker-dealers also must disclose to customers the venues to which their individual orders were routed. Each customer may request a written copy of the report be mailed to them at no charge.
In accordance with U.S. Securities and Exchange Commission (SEC) Rule 606, Auerbach Grayson & Company LLC (the Firm) is publishing statistical information about our routing practices for non-directed orders in U.S. exchange-listed equity securities and options.
You may visit the SEC web site for more information on the Disclosure of Order Execution and Routing Practices , Regulation NMS and interpretative frequently asked questions ( Staff Legal Bulletin No. 13A).
Disclosure of Order Routing Information for the Quarter Ending March 30, 2019...
Auerbach Grayson SEC Rule 606 Report
Business Continuity Plan
AGCO discloses in writing to its customers a summary of its BCP upon account opening and annually.