IA- Non-Disclosure Agreement (NDA) for Nonpublic Personal Information Broker tracking and monitoring compliance with

tracking and monitoring compliance with its restricted securities in accordance with Rule 204A-1 under the Advisers Act and the Insider Trading and Securities Fraud Enforcement Act of 1988

shall form the basis and understanding of the advisory agreement for this account

The Notification Letter includes the individual name

Members also downloaded Broker-Dealer Quarterly Compliance Review Checklist and Broker-Dealer Monthly CRD Forms & Filings Review Checklist

CRD number and fingerprint barcode reference number of the person fingerprinted

IA- Non-Disclosure Agreement (NDA) for Nonpublic Personal Information Broker tracking and monitoring compliance withThe Investment Adviser Non Disclosure Agreement ("NDA") for Nonpublic Personal Information serves as an important part of an investment adviser's overall compliance and privacy program in accordance with SEC Rule 206(4) 7, Regulation S P and or similar state requirements. When working with third party service providers, investment adviser firms must safeguard its customer information and ensure confidentiality. This NDA helps firms establish standard