SEC Rule 11Ac1-6 "Order Routing"
USA Patriot Act
The USA PATRIOT Act is designed to detect, deter, and punish terrorists in the United States and abroad. The
Act imposes new anti-money laundering requirements on brokerage firms and financial institutions. Money
laundering is the process of disguising illegally obtained money so that the funds appear to come from legitimate
sources or activities. As part of our required program, we may ask you to provide various identification
documents or may do a background review of your firm and/or customers. Until you provide, or we attain through our
search, the information or documents we need, we may not be able to open an account or effect any transactions for
you. Thank you for your patience and we hope that you will support us in our efforts to deny terrorist groups
access to the U. S. financial system.
Privacy Policy
On June 29, 2000, the United States Securities and Exchange Commission published final Regulation S-P in the
Federal Register. Regulation S-P requires financial institutions, including broker/dealers such as BGB Securities,
Inc. to develop privacy policies with respect to customer non-public information and to notify its customers of
such policies.
Broker/dealers typically collect customer non-public information including personally identifiable financial
information (e.g., information the customer provides when the client relationship is established such as name,
address, social security number, tax identification number, etc.) to evaluate and to serve client needs and to
complete client transactions. Many financial institutions also compile customer lists derived from such personally
identifiable information.
BGB does not disclose any non-public personal information relating to its customers, or former customers, to
affiliates or non-affiliated third parties, except as permitted by law, to process client transactions or to
fulfill legal and/or regulatory requirements.
BGB has implemented specific policies and practices with respect to safeguarding the confidentiality and security of
customer non-public financial information. BGB’s employees are instructed to protect such information and are required
to comply with these established policies and practices.
Should you require any additional information, please feel free to contact Sarah Zhang at or call 571-250-0054.
