Legal and Disclosures

Risk Disclosures
The risk of loss in electronic active investing can be substantial. Therefore, you should carefully consider whether such trading is suitable for you in light of your circumstances and financial resources. It may be beneficial to review the following points regarding certain aspects of trading activity.

Protecting the personal and financial information you've entrusted to us, and using it only as you would want us to, is of paramount importance to GlobalVest. Review our principles and policies that ensure the privacy of customer information.

Business Continuity Plan
Review a summary of GlobalVest’s business continuity plan, designed to back up and restore essential business functions in the event of an emergency.

SEC Rule 606
Review GlobalVest’s quarterly report (pursuant to an SEC rule for all brokerage firms) on the routing of “non-directed orders”—orders that the customer has not specifically instructed to be routed to a particular venue for execution.

Nasdaq National Market, Nasdaq Stock Market and SOES are trademarks of The Nasdaq Stock Market, Inc. NASDAQ is a registered trademark of The Nasdaq Stock Market, Inc. Other featured logos are service/trademarks of their respective owners. RealTick is a registered trademark of Townsend Analytics, Ltd.

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