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Important Disclosures
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True to our mission of being fully invested in our clients, we encourage you to read the following policies and learn how they affect you as a client.
Investor Rights and Responsibilities
A.G. Edwards joins the Securities Industry Association (SIA) in embracing the following rightsand responsibilities and respects each client's desire to be treated the way we would like to  Read more ...
Understanding Compensation Received by A.G. Edwards
As an investor, it is important to understand the costs associated with your investments and the conflicts of interest A.G. Edwards and your Financial Advisor have when offering and recommending investments to you. The following documents are intended to help you understand the various forms of compensation that A.G. Edwards earns when you purchase an investment product or service.
Our Practices and Procedures for Auction Rate Securities
Understanding the typical terms and descriptions of the auction practices we use is crucial when you invest in auction rate securities through A.G. Edwards, but because each security is different, it's also important to review the offering documents of the specific securities you invest in.
The market for auction-rate securities (ARS) has recently experienced turmoil. If you own auction-rate securities (ARS), they continue to be priced at par. Based on market conditions, these securities may be valued more or less than par. You can tell whether you own auction-rate securities (ARS) by the security description on your account statement that will reflect references to "Auction" or "Var" and "nxt auc" followed by a date (i.e., next auction date). For further information about auction-rate securities (ARS), read our special report, Auction Rate Securities: Overview, Features and Risks (PDF). For information on auction practices see our special report, "Auction Practices and Procedures for Auction-Rate Securities" (PDF).
Business Continuity Preparation
We have developed a Business Continuity Plan to help ensure the continuity of our operations in the event of a crisis or incident that would hinder or deny us access to our facilities. Read more ...
USA Patriot Act
When you open a new account with A.G. Edwards, we are required by law to collect, verify and record specific information about your identity.
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Our Proxy Voting Policies and Procedures
It's important for you to understand our proxy voting policies and procedures for advisory accounts where A.G. Edwards or an affiliate manager has discretion and is acting as a subadvisor. The following document details the guidelines that the asset manager follows with respect to accounts they manage within the Allocation Advisor, Select Advisor and A.G. Edwards Asset Management programs.
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