Why is your Investment Representative requesting a government issued
identification number?

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 financial institutions to obtain, verify and record information that identifies each person
who opens an account.

This notice answers some questions about your firm’s Customer Identification Program.

What types of information will I need to provide?

When you open an account, your firm is required to collect the following information:

  • Name
  • Date of birth
  • Address
  • Identification number:
  • U.S. citizen: taxpayer identification number (Social Security number or
  • employer identification number)
  • Non-U.S. citizen: taxpayer identification number; passport number and country of
    issuance; alien identification card  number; or government-issued identification
    showing nationality, residence and a photograph of you.

You may also need to show your driver’s license or other identifying documents.

A corporation, partnership, trust or other legal entity may need to provide other information, such
as its principal place of business, local office, employer identification number, certified articles of
incorporation, government-issued business license, a partnership agreement or a trust
agreement.

U.S. Department of the Treasury, Securities and Exchange Commission, NASD 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, such as your net worth, annual income,
occupation, employment information, investment experience and objectives and risk tolerance.

What happens if I don't provide the information requested or my identity can't be verified?

Your firm may not be able to open an account or carry out transactions for you. If your firm has
already opened an account for you, they may have to close it.


© 2007. FINRA. All rights reserved.



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Member FINRA / SIPC
Email us at info@inletsecurities.com
Inlet Securities, LLC
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Member FINRA / SIPC
Customer Identification Program Notice
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.