Compliance: Common Disclosure Guide.

Herein you will find a guide to the most commonly used disclosures & disclaimers. This document, while extensive, is not intended to be all inclusive.

General uses of disclosures & disclaimers include, but are not limited to:

1. Letters, either electronic or paper, sent to more that one client or prospect within a 30 day period.
2. Invitations to client gatherings including seminars and appreciation events.
3. Advertising including brochures and other marketing pieces.
4. Firm stationary and business cards.
5. Power Point Presentations for any audience.
6. Branch/RR generated account information reports.
7. Social Media postings.
8. Website postings.

Within the guide, various customization options will be in shown in parentheses' (and in BOLD print ).

If you have any questions regarding which disclosure/disclaimer is appropriate for your needs, please contact the Compliance department.