Common use of Closing of Account Clause in Contracts

Closing of Account. If you close or The Firm closes your brokerage account, your associated Program Bank deposit accounts will also be closed and the funds in your Program Bank deposit accounts will be distributed out through your brokerage account. Under the terms of your Customer Agreement, funds in your Program Bank deposit accounts may be charged or set-off against indebtedness or obligations you have. For further information on such indebtedness or obligations, please review your Customer Agreement. FACTS WHAT DOES COR CLEARING LLC (“COR”) DO WITH YOUR PERSONAL INFORMATION? Who? As a clearing firm, COR provides clearing services to your introducing broker dealer pursuant to a Fully Disclosed Clearing Agreement. Examples of these clearing services include, but are not limited to trade execution, trade reporting, and other back office operations. The nature of these services requires COR to receive and retain nonpublic personal information. Why? Financial companies choose how they share your personal information. Federal law gives consumers the right to limit some but not all sharing. XXX is committed to protecting the privacy of all nonpublic personal information that it receives. Federal law also requires us to tell you how we collect, share, and protect your personal information. Please read this notice carefully to understand what we do. What? We collect your personal information from your introducing broker dealer in order to provide the services necessary to maintain your account. The types of personal information we collect and share may include, but are not limited to:  Personal information, such as Social Security number and date of birth  Financial information, such as account balances, positions and transactions, income, and net worth  Contact information, such as phone numbers and email addresses  Demographic information, such as gender, education, and occupation How? All financial companies need to share customers’ personal information to run their everyday businesses. In the section below, we list the reasons financial companies like COR can share customers’ personal information, whether COR generally shares, and whether you can limit this sharing. If you are no longer a customer of one of our introducing broker dealers, we may nevertheless continue to share your information as described in this notice. For our everyday business purposes Such as to process your transactions, maintain your account(s), respond to court orders and legal investigations, or report to credit bureaus Yes No For our non-affiliates’ everyday business purposes COR may enter into contracts with certain non- affiliated third parties to assist in servicing your account Yes No For our marketing purposes To offer our products and service to your introducing broker dealer and/or you No We do not share For our affiliates’ everyday business purposes Information about your transactions and experiences Yes No For our affiliates’ everyday business purposes Information about your creditworthiness No We do not share For our affiliates to market to you No We do not share Questions? To discuss your options to limit our sharing of your personal information, please call 866-774- 0218 or email xxxxxxxxxxxxxx@XXXXxxxxxxx.xxx. Who is providing this notice? COR Clearing LLC; 0000 Xxxxxxxx Xxxxxx, Xxx. 000; Xxxxx, XX 00000-0000 How does COR protect my personal information? To protect your personal information from unauthorized access and use, COR maintains physical, electronic, and procedural safeguards in accordance with industry and legal standards. How does COR collect my personal information? COR may collect information:  Directly from you or your introducing broker dealer on applications or other forms;  About your account transactions with your introducing broker dealer, such as account balances, positions, and activity;  From consumer and credit reporting agencies;  Received from other sources with your consent or the consent of your introducing broker dealer. Why can’t I limit all sharing? Federal law gives you the right to limit only:  Sharing for affiliates’ everyday business purposes – information about your creditworthiness  Affiliates from using your information to market to you  Sharing for non-affiliates to market to you State laws and individual companies may give you additional rights to limit sharing.

Closing of Account. If you close or The Firm closes your brokerage account, your associated Program Bank deposit accounts will also be closed and the funds in your Program Bank deposit accounts will be distributed out through your brokerage account. Under the terms of your Customer Agreement, funds in your Program Bank deposit accounts may be charged or set-off against indebtedness or obligations you have. For further information on such indebtedness or obligations, please review your Customer Agreement. FACTS WHAT DOES COR CLEARING LLC (“COR”) DO WITH YOUR PERSONAL INFORMATION? Who? As a clearing firm, COR provides clearing services to your introducing broker dealer pursuant to a Fully Disclosed Clearing Agreement. Examples of these clearing services include, but are not limited to trade execution, trade reporting, and other back office operations. The nature of these services requires COR to receive and retain nonpublic personal information. Why? Financial companies choose how they share your personal information. Federal law gives consumers the right to limit some but not all sharing. XXX is committed to protecting the privacy of all nonpublic personal information that it receives. Federal law also requires us to tell you how we collect, share, and protect your personal information. Please read this notice carefully to understand what we do. What? We collect your personal information from your introducing broker dealer in order to provide the services necessary to maintain your account. The types of personal information we collect and share may include, but are not limited to:  • Personal information, such as Social Security number and date of birth  • Financial information, such as account balances, positions and transactions, income, and net worth  • Contact information, such as phone numbers and email addresses  • Demographic information, such as gender, education, and occupation How? All financial companies need to share customers’ personal information to run their everyday businesses. In the section below, we list the reasons financial companies like COR can share customers’ personal information, whether COR generally shares, and whether you can limit this sharing. If you are no longer a customer of one of our introducing broker dealers, we may nevertheless continue to share your information as described in this notice. For our everyday business purposes Such as to process your transactions, maintain your account(s), respond to court orders and legal investigations, or report to credit bureaus Yes No For our non-affiliates’ everyday business purposes COR may enter into contracts with certain non- affiliated third parties to assist in servicing your account Yes No For our marketing purposes To offer our products and service to your introducing broker dealer and/or you No We do not share For our affiliates’ everyday business purposes Information about your transactions and experiences Yes No For our affiliates’ everyday business purposes Information about your creditworthiness No We do not share For our affiliates to market to you No We do not share Questions? To discuss your options to limit our sharing of your personal information, please call 866-774- 0218 or email xxxxxxxxxxxxxx@XXXXxxxxxxx.xxx. Who is providing this notice? COR Clearing LLC; 0000 Xxxxxxxx Xxxxxx, Xxx. 000; Xxxxx, XX 00000-0000 How does COR protect my personal information? To protect your personal information from unauthorized access and use, COR maintains physical, electronic, and procedural safeguards in accordance with industry and legal standards. How does COR collect my personal information? COR may collect information:  • Directly from you or your introducing broker dealer on applications or other forms;  • About your account transactions with your introducing broker dealer, such as account balances, positions, and activity;  • From consumer and credit reporting agencies;  • Received from other sources with your consent or the consent of your introducing broker dealer. Why can’t I limit all sharing? Federal law gives you the right to limit only:  • Sharing for affiliates’ everyday business purposes – information about your creditworthiness  • Affiliates from using your information to market to you  • Sharing for non-affiliates to market to you State laws and individual companies may give you additional rights to limit sharing.

Closing of Account. If you close or The Firm closes your brokerage account, your associated Program Bank deposit accounts will also be closed and the funds in your Program Bank deposit accounts will be distributed out through your brokerage account. Under the terms of your Customer Agreementbrokerage account customer agreement, funds in your Program Bank deposit accounts may be charged or set-off against indebtedness or obligations you have. For further information on such indebtedness or obligations, please review your Customer Agreementbrokerage agreement. FACTS WHAT DOES COR CLEARING LLC (“COR”) DO WITH YOUR PERSONAL INFORMATION? Who? As a clearing firm, COR provides clearing services to your introducing broker dealer pursuant to a Fully Disclosed Clearing Agreement. Examples of these clearing services include, but are not limited to trade execution, trade reporting, and other back office operations. The nature of these services requires COR to receive and retain nonpublic personal information. Why? Financial companies choose how they share your personal information. Federal law gives consumers the right to limit some but not all sharing. XXX is committed to protecting the privacy of all nonpublic personal information that it receives. Federal law also requires us to tell you how we collect, share, and protect your personal information. Please read this notice carefully to understand what we do. What? We collect your personal information from your introducing broker dealer in order to provide the services necessary to maintain your account. The types of personal information we collect and share may include, but are not limited to:  • Personal information, such as Social Security number and date of birth  • Financial information, such as account balances, positions and transactions, income, and net worth  • Contact information, such as phone numbers and email addresses  • Demographic information, such as gender, education, and occupation How? All financial companies need to share customers’ personal information to run their everyday businesses. In the section below, we list the reasons financial companies like COR can share customers’ personal information, whether COR generally shares, and whether you can limit this sharing. If you are no longer a customer of one of our introducing broker dealers, we may nevertheless continue to share your information as described in this notice. For our everyday business purposes Such as to process your transactions, maintain your account(s), respond to court orders and legal investigations, or report to credit bureaus Yes No For our non-affiliates’ everyday business purposes COR may enter into contracts with certain non- affiliated third parties to assist in servicing your account Yes No For our marketing purposes To offer our products and service to your introducing broker dealer and/or you No We do not share For our affiliates’ everyday business purposes Information about your transactions and experiences Yes No For our affiliates’ everyday business purposes Information about your creditworthiness No We do not share For our affiliates to market to you No We do not share Questions? To discuss your options to limit our sharing of your personal information, please call 866-774- 0218 or email xxxxxxxxxxxxxx@XXXXxxxxxxx.xxx. Who is providing this notice? COR Clearing LLC; 0000 Xxxxxxxx Xxxxxx, Xxx. 000; Xxxxx, XX 00000-0000 How does COR protect my personal information? To protect your personal information from unauthorized access and use, COR maintains physical, electronic, and procedural safeguards in accordance with industry and legal standards. How does COR collect my personal information? COR may collect information:  • Directly from you or your introducing broker dealer on applications or other forms;  • About your account transactions with your introducing broker dealer, such as account balances, positions, and activity;  • From consumer and credit reporting agencies;  • Received from other sources with your consent or the consent of your introducing broker dealer. Why can’t I limit all sharing? Federal law gives you the right to limit only:  • Sharing for affiliates’ everyday business purposes – information about your creditworthiness  • Affiliates from using your information to market to you  • Sharing for non-affiliates to market to you State laws and individual companies may give you additional rights to limit sharing.

Closing of Account. If you close or The Firm closes your brokerage account, your associated Program Bank deposit accounts will also be closed and the funds in your Program Bank deposit accounts will be distributed out through your brokerage account. Under the terms of your Customer Agreementbrokerage account customer agreement, funds in your Program Bank deposit accounts may be charged or set-off against indebtedness or obligations you have. For further information on such indebtedness or obligations, please review your Customer Agreementbrokerage agreement. FACTS WHAT DOES COR CLEARING LLC (“COR”) DO WITH YOUR PERSONAL INFORMATION? Who? As a clearing firm, COR provides clearing services to your introducing broker dealer pursuant to a Fully Disclosed Clearing Agreement. Examples of these clearing services include, but are not limited to trade execution, trade reporting, and other back office operations. The nature of these services requires COR to receive and retain nonpublic personal information. Why? Financial companies choose how they share your personal information. Federal law gives consumers the right to limit some but not all sharing. XXX is committed to protecting the privacy of all nonpublic personal information that it receives. Federal law also requires us to tell you how we collect, share, and protect your personal information. Please read this notice carefully to understand what we do. What? We collect your personal information from your introducing broker dealer in order to provide the services necessary to maintain your account. The types of personal information we collect and share may include, but are not limited to:  Personal information, such as Social Security number and date of birth  Financial information, such as account balances, positions and transactions, income, and net worth  Contact information, such as phone numbers and email addresses  Demographic information, such as gender, education, and occupation How? All financial companies need to share customers’ personal information to run their everyday businesses. In the section below, we list the reasons financial companies like COR can share customers’ personal information, whether COR generally shares, and whether you can limit this sharing. If you are no longer a customer of one of our introducing broker dealers, we may nevertheless continue to share your information as described in this notice. For our everyday business purposes Such as to process your transactions, maintain your account(s), respond to court orders and legal investigations, or report to credit bureaus Yes No For our non-affiliates’ everyday business purposes COR may enter into contracts with certain non- affiliated third parties to assist in servicing your account Yes No For our marketing purposes To offer our products and service to your introducing broker dealer and/or you No We do not share For our affiliates’ everyday business purposes Information about your transactions and experiences Yes No For our affiliates’ everyday business purposes Information about your creditworthiness No We do not share For our affiliates to market to you No We do not share Questions? To discuss your options to limit our sharing of your personal information, please call 866-774- 0218 or email xxxxxxxxxxxxxx@XXXXxxxxxxx.xxx. Who is providing this notice? COR Clearing LLC; 0000 Xxxxxxxx Xxxxxx, Xxx. 000; Xxxxx, XX 00000-0000 How does COR protect my personal information? To protect your personal information from unauthorized access and use, COR maintains physical, electronic, and procedural safeguards in accordance with industry and legal standards. How does COR collect my personal information? COR may collect information:  Directly from you or your introducing broker dealer on applications or other forms;  About your account transactions with your introducing broker dealer, such as account balances, positions, and activity;  From consumer and credit reporting agencies;  Received from other sources with your consent or the consent of your introducing broker dealer. Why can’t I limit all sharing? Federal law gives you the right to limit only:  Sharing for affiliates’ everyday business purposes – information about your creditworthiness  Affiliates from using your information to market to you  Sharing for non-affiliates to market to you State laws and individual companies may give you additional rights to limit sharing.

Closing of Account. If you close or The Firm closes your brokerage account, your associated Program Bank deposit accounts will also be closed and the funds in your Program Bank deposit accounts will be distributed out through your brokerage account. Under the terms of your Customer Agreementbrokerage account customer agreement, funds in your Program Bank deposit accounts may be charged or set-off against indebtedness or obligations you have. For further information on such indebtedness or obligations, please review your Customer Agreementbrokerage agreement. FACTS WHAT DOES COR CLEARING LLC (“COR”) DO WITH YOUR PERSONAL INFORMATION? Who? As a clearing firm, COR provides clearing services to your introducing broker dealer pursuant to a Fully Disclosed Clearing Agreement. Examples of these clearing services include, but are not limited to trade execution, trade reporting, and other back office operations. The nature of these services requires COR to receive and retain nonpublic personal information. Why? Financial companies choose how they share your personal information. Federal law gives consumers the right to limit some but not all sharing. XXX COR is committed to protecting the privacy of all nonpublic personal information that it receives. Federal law also requires us to tell you how we collect, share, and protect your personal information. Please read this notice carefully to understand what we do. What? We collect your personal information from your introducing broker dealer in order to provide the services necessary to maintain your account. The types of personal information we collect and share may include, but are not limited to:  Personal information, such as Social Security number and date of birth  Financial information, such as account balances, positions and transactions, income, and net worth  Contact information, such as phone numbers and email addresses  Demographic information, such as gender, education, and occupation How? All financial companies need to share customers’ personal information to run their everyday businesses. In the section below, we list the reasons financial companies like COR can share customers’ personal information, whether COR generally shares, and whether you can limit this sharing. If you are no longer a customer of one of our introducing broker dealers, we may nevertheless continue to share your information as described in this notice. For our everyday business purposes Such as to process your transactions, maintain your account(s), respond to court orders and legal investigations, or report to credit bureaus Yes No For our non-affiliates’ everyday business purposes COR may enter into contracts with certain non- affiliated third parties to assist in servicing your account Yes No For our marketing purposes To offer our products and service to your introducing broker dealer and/or you No We do not share For our affiliates’ everyday business purposes Information about your transactions and experiences Yes No For our affiliates’ everyday business purposes Information about your creditworthiness No We do not share For our affiliates to market to you No We do not share Questions? To discuss your options to limit our sharing of your personal information, please call 866-774- 0218 or email xxxxxxxxxxxxxx@XXXXxxxxxxx.xxx. Who is providing this notice? COR Clearing LLC; 0000 Xxxxxxxx Xxxxxx, Xxx. 000; Xxxxx, XX 00000-0000 How does COR protect my personal information? To protect your personal information from unauthorized access and use, COR maintains physical, electronic, and procedural safeguards in accordance with industry and legal standards. How does COR collect my personal information? COR may collect information:  Directly from you or your introducing broker dealer on applications or other forms;  About your account transactions with your introducing broker dealer, such as account balances, positions, and activity;  From consumer and credit reporting agencies;  Received from other sources with your consent or the consent of your introducing broker dealer. Why can’t I limit all sharing? Federal law gives you the right to limit only:  Sharing for affiliates’ everyday business purposes – information about your creditworthiness  Affiliates from using your information to market to you  Sharing for non-affiliates to market to you State laws and individual companies may give you additional rights to limit sharing.

Closing of Account. If you close or The Firm closes your brokerage account, your associated Program Bank deposit accounts will also be closed and the funds in your Program Bank deposit accounts will be distributed out through your brokerage account. Under the terms of your Customer Agreement, funds in your Program Bank deposit accounts may be charged or set-off against indebtedness or obligations you have. For further information on such indebtedness or obligations, please review your Customer Agreement. FACTS WHAT DOES COR CLEARING LLC (“COR”) DO WITH YOUR PERSONAL INFORMATION? Who? As a clearing firm, COR provides clearing services to your introducing broker dealer pursuant to a Fully Disclosed Clearing Agreement. Examples of these clearing services include, but are not limited to trade execution, trade reporting, and other back office operations. The nature of these services requires COR to receive and retain nonpublic personal information. Why? Financial companies choose how they share your personal information. Federal law gives consumers the right to limit some but not all sharing. XXX COR is committed to protecting the privacy of all nonpublic personal information that it receives. Federal law also requires us to tell you how we collect, share, and protect your personal information. Please read this notice carefully to understand what we do. What? We collect your personal information from your introducing broker dealer in order to provide the services necessary to maintain your account. The types of personal information we collect and share may include, but are not limited to:  Personal information, such as Social Security number and date of birth  Financial information, such as account balances, positions and transactions, income, and net worth  Contact information, such as phone numbers and email addresses  Demographic information, such as gender, education, and occupation How? All financial companies need to share customers’ personal information to run their everyday businesses. In the section below, we list the reasons financial companies like COR can share customers’ personal information, whether COR generally shares, and whether you can limit this sharing. If you are no longer a customer of one of our introducing broker dealers, we may nevertheless continue to share your information as described in this notice. For our everyday business purposes Such as to process your transactions, maintain your account(s), respond to court orders and legal investigations, or report to credit bureaus Yes No For our non-affiliates’ everyday business purposes COR may enter into contracts with certain non- affiliated third parties to assist in servicing your account Yes No For our marketing purposes To offer our products and service to your introducing broker dealer and/or you No We do not share For our affiliates’ everyday business purposes Information about your transactions and experiences Yes No For our affiliates’ everyday business purposes Information about your creditworthiness No We do not share For our affiliates to market to you No We do not share Questions? To discuss your options to limit our sharing of your personal information, please call 866-774- 0218 or email xxxxxxxxxxxxxx@XXXXxxxxxxx.xxx. Who is providing this notice? COR Clearing LLC; 0000 Xxxxxxxx Xxxxxx, Xxx. 000; Xxxxx, XX 00000-0000 How does COR protect my personal information? To protect your personal information from unauthorized access and use, COR maintains physical, electronic, and procedural safeguards in accordance with industry and legal standards. How does COR collect my personal information? COR may collect information:  Directly from you or your introducing broker dealer on applications or other forms;  About your account transactions with your introducing broker dealer, such as account balances, positions, and activity;  From consumer and credit reporting agencies;  Received from other sources with your consent or the consent of your introducing broker dealer. Why can’t I limit all sharing? Federal law gives you the right to limit only:  Sharing for affiliates’ everyday business purposes – information about your creditworthiness  Affiliates from using your information to market to you  Sharing for non-affiliates to market to you State laws and individual companies may give you additional rights to limit sharing.

Closing of Account. If you close or The Firm closes your brokerage account, your associated Program Bank deposit accounts will also be closed and the funds in your Program Bank deposit accounts will be distributed out through your brokerage account. Under the terms of your Customer Agreement, funds in your Program Bank deposit accounts may be charged or set-off against indebtedness or obligations you have. For further information on such indebtedness or obligations, please review your Customer Agreement. FACTS WHAT DOES COR AXOS CLEARING LLC (“CORAxos Clearing”) DO WITH YOUR PERSONAL INFORMATION? Who? As a clearing firm, COR Axos Clearing provides clearing services to your introducing broker dealer pursuant to a Fully Disclosed Clearing Agreement. Examples of these clearing services include, but are not limited to trade execution, trade reporting, and other back office operations. The nature of these services requires COR Axos Clearing to receive and retain nonpublic personal information. Why? Financial companies choose how they share your personal information. Federal law gives consumers the right to limit some but not all sharing. XXX Axos Clearing is committed to protecting the privacy of all nonpublic personal information that it receives. Federal law also requires us to tell you how we collect, share, and protect your personal information. Please read this notice carefully to understand what we do. What? We collect your personal information from your introducing broker dealer in order to provide the services necessary to maintain your account. The types of personal information we collect and share may include, but are not limited to:  • Personal information, such as Social Security number and date of birth  • Financial information, such as account balances, positions and transactions, income, and net worth  • Contact information, such as phone numbers and email addresses  • Demographic information, such as gender, education, and occupation How? All financial companies need to share customers’ personal information to run their everyday businesses. In the section below, we list the reasons financial companies like COR Axos Clearing can share customers’ personal information, whether COR Axos Clearing generally shares, and whether you can limit this sharing. If you are no longer a customer of one of our introducing broker dealers, we may nevertheless continue to share your information as described in this notice. For our everyday business purposes Such as to process your transactions, maintain your account(s), respond to court orders and legal investigations, or report to credit bureaus Yes No For our non-affiliates’ everyday business purposes COR Axos Clearing may enter into contracts with certain non- non-affiliated third parties to assist in servicing your account Yes No For our marketing purposes To offer our products and service to your introducing broker dealer and/or you No We do not share For our affiliates’ everyday business purposes Information about your transactions and experiences Yes No For our affiliates’ everyday business purposes Information about your creditworthiness No We do not share For our affiliates to market to you No We do not share Questions? To discuss your options to limit our sharing of your personal information, please call 866-774- 0218 or email xxxxxxxxxxxxxx@XXXXxxxxxxx.xxxxxxxxxxxxxxxxx@XxxxXxxxxxxx.xxx. Who is providing this notice? COR Axos Clearing LLC; 0000 Xxxxxxxx Xxxxxx, Xxx. 000; Xxxxx, XX 00000-0000 1916 How does COR Axos Clearing protect my personal information? To protect your personal information from unauthorized access and use, COR Axos Clearing maintains physical, electronic, and procedural safeguards in accordance with industry and legal standards. How does COR Axos Clearing collect my personal information? COR Axos Clearing may collect information:  • Directly from you or your introducing broker dealer on applications or other forms;  • About your account transactions with your introducing broker dealer, such as account balances, positions, and activity;  • From consumer and credit reporting agencies;  • Received from other sources with your consent or the consent of your introducing broker dealer. Why can’t I limit all sharing? Federal law gives you the right to limit only:  • Sharing for affiliates’ everyday business purposes – information about your creditworthiness  • Affiliates from using your information to market to you  • Sharing for non-affiliates to market to you State laws and individual companies may give you additional rights to limit sharing.