Auerbach Grayson
Important Information About Procedures for Opening a New Account

To help the government fight the funding of terrorism and money laundering activities, Federal law requires all financial institutions to obtain, verify, and record information that identifies each person who opens an account.

What this means for you: When you open an account, we will ask our institutional clients the following: 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 and other information that will allow us to identify you U.S. Department of the Treasury, Securities and Exchange Commission and FINRA Rules require this information to be provided. Without the requested information, the new customer may not be able to open an account.

SEC Rule 606 Report

Disclosure of Order Routing Information

For the Quarter Ending March 30, 2019,

In accordance with U.S. Securities and Exchange Commission (SEC) Rule 606, Auerbach Grayson & Company LLC (the Firm) is publishing statistical information about our routing practices for non-directed orders in U.S. exchange-listed equity securities and options. You may visit the SEC web site for more information on the Disclosure of Order Execution and Routing Practices , Regulation NMS and interpretative frequently asked questions ( Staff Legal Bulletin No. 13A).

Auerbach Grayson SEC Rule 606 Report