Business Continuity and Other Disclosures

Pershing Disclosures

Important Legal Information - please read the disclaimer before proceeding [PDF]
Alternative Investment Network Fees [PDF]
Annuity Fees and Revenue Disclosure [PDF]
Auction Rate Securities Payments Disclosure [PDF]
Business Continuity Disclosure [PDF]
Business Continuity Planning—Pandemic Statement of Preparation [PDF]
Client or Investor Support [PDF]
Confirmation of Executions and/or Cancellations [PDF]
Disclosure Regarding Securities Lending in Margin Accounts [PDF]
Disclosure Statement [PDF]
Elder and Vulnerable Adults [PDF]
Estimated Annual Income and Estimated Yield [PDF]
Extended-Hours Trading Risk Disclosure [PDF]
Float Disclosure [PDF]
Impartial Lottery Process [PDF]
Important Information About Procedures for Opening a New Account [PDF]
Information Statement In Accordance with Article 15 of the Securities Financing Transactions Regulation [PDF]
Ingresos Anuales y Réditos Estimados [PDF]
Money Market Mutual Fund Confirmations [PDF]
Mutual Fund, Money Fund and Bank Deposit Program Disclosures [PDF]
National Instrument 24-101 Trading Matching and Settlement [PDF]
Nonbank Custodian for Retirement Accounts [PDF]
Order Routing SEC Rule 606 [PDF]
SEC No-Action Letter Relating to Third-Party SLOAs [PDF]
Shareholder Rights Directive – Pricing Disclosure [PDF]
Sponsorship Fees Disclosure [PDF]
Trailing Stop Orders [PDF]
Unit Investment Trust (UIT) Payments Disclosure [PDF]
Updated Pershing ERISA §408(b)(2) Fee Disclosure [PDF]
Privacy Policy

Pershing Advisor Solutions Disclosures

Important Legal Information - Please read the disclaimer before proceeding [PDF]
Business Continuity Disclosure [PDF]
Business Continuity Planning—Pandemic Statement of Preparation [PDF]
Client Support [PDF]
Confirmation of Executions and/or Cancellations [PDF]
Customer Relationship Summary (Form-CRS) [PDF]
Disclosure Regarding Securities Lending in Margin Accounts [PDF]
BNY Mellon, National Association Insured Deposit Sweep Account
- Rate Sheet for BNA [PDF]
- Rate Sheet for BNO [PDF]
Disclosure Statement [PDF]
Estimated Annual Income and Estimated Yield [PDF]
Extended-Hours Trading Risk Disclosure [PDF]
Float Disclosure [PDF]
Important Information About Procedures for Opening a New Account [PDF]
Information Statement In Accordance with Article 15 of the Securities Financing Transactions Regulation [PDF]
National Instrument 24-101 Trading Matching and Settlement [PDF]
Nonbank Custodian for Retirement Accounts [PDF]
Order Routing SEC Rule 606 [PDF]
Privacy Policy
SEC No-Action Letter Relating to Third-Party SLOAs [PDF]
Schedule of Maximum Charges [PDF]
Terms and Conditions of Your Brokerage Custody Accounts [PDF]
Terms and Conditions of Your Lockwood Advisors, Inc. Managed360^® Program [PDF]
Trailing Stop Orders [PDF]
408(b)(2) Service Provider Disclosure [PDF]

BNY Mellon, N.A. Bank Custody Solutions

Terms and Conditions [PDF]
Privacy Policy
SEC No-Action Letter Relating to Third-Party SLOAs [PDF]
Schedule of Maximum Charges [PDF]
408(b)(2) Service Provider Disclosure [PDF]

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