SPECIAL STATEMENT FOR ACTIVE TRADER
Dear Sir/Madam:
We recently have reviewed your account and found out that your account has been heavily traded. We appreciate your business, but according to NASD rules, we are required to inform you of active transactions, and make sure our broker has been following your instructions honestly.
Please sign below to ensure that you are aware of the following & send it to us.
1. My account is actively traded, and I know this kind of activities always involves very high risks.
2. Treasure Financial Corp. do warn me that this kind of activities may not suitable for me. It is my own responsibility for any losses incurred.
3. All my orders were unsolicited.
Thank you for your business. Your prompt response will be appreciated.
_____________ _______________ _________________ ________________
AC# Customer’s Name Customer’s Signature Date
Sincerely your,
_____________________
Tsan-Hwa Wu – President
_____________________
Broker’s Name
____________________
Broker’s Signature