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