Important Legal Information
The products and services described on this web site are for informational purposes only. The information shall not be considered a solicitation to buy or an offer to sell any particular investment or security, and it is not intended to provide investment guidance or advice of any kind. The services and products as listed are intended for persons in the United States only, and are not offered to, targeted at, or designed for persons or data subjects residing in those states and jurisdictions, including the European Union and the European Economic Area, where Shareholders Service Group, Inc., is not licensed.
Mutual fund shares are not deposits or obligations of, or guaranteed or insured by, any depository institution, including the FDIC, the Federal Reserve Board, U.S. Government, or any other agency, and are subject to market risk, including the possible loss of principle amount invested. The market value of shares may fluctuate and the price received when shares are sold may be higher or lower than the price of original purchase. Please read our Mutual Fund Disclosure for more information about mutual funds about mutual fund charges and expenses and about compensation Shareholders Service Group may receive from fund companies.
More complete information about a mutual fund, including management fees, charges, and expenses, is available in the fund’s prospectus. Please call or write to receive a free fund prospectus. Please read the prospectus carefully before you invest or send money.
An investment in a money market fund is not insured or guaranteed by the FDIC or any other government agency, and are not deposits or obligations of, or guaranteed by, any bank. While a money market fund seeks to preserve the value of the investment at $1.00 per share, it is possible that an investment in a money market mutual fund will lose money. More complete information about a money market mutual fund, including management fees, charges, and expenses, is available in the fund’s prospectus. Please call or write to receive a free prospectus. Please read the prospectus carefully before you invest or send money.
Shareholders Service Group, Inc., is a registered broker-dealer with the U.S. Securities and Exchange Commission (SEC). SEC Rule 606 (formerly SEC Rule 11AC1-6), Disclosure of Order Routing Practices rule, requires all brokerage firms to publicly disclose their order routing practices. This Disclosure describes the routing of “non-directed orders,” that is, orders that customers have not specifically asked to have sent to a particular venue for execution. Shareholders Service Group sends orders on behalf of clients to our clearing firm, Pershing, for routing to various market centers and market makers for execution. For these non-directed orders, our clearing firm Pershing, LLC, selects the venue on behalf of our customers. Shareholders Service Group directs all trades in over-the-counter (OTC), exchange listed stock, and options to our clearing firm, Pershing, LLC, for execution without consideration for compensation. Shareholders Service Group does not receive payment for order flow. The designated market centers and market makers to which orders are automatically routed are selected based on the consistently high quality of their executions in one or more market segments and their history of seeking price improvements. Shareholders Service Group regularly reviews reports for quality of execution purposes. To view the most recent report of the top venues executing Shareholders Service Group’s non-directed orders, please visit www.orderroutingdisclosure.com. Click on the “Search” button on the top toolbar of the page, and enter “Shareholders Service Group Inc” (no punctuation) for details about each market center’s executed trades.
- Disclosure for New Accounts (Formerly NYSE Rule 382 Disclosure) (New Account Disclosure Document)
- MSRB Regulatory Disclosure
- Shareholders Service Group (“SSG”) Business Continuity Plan (BCP)
- Shareholders Service Group (“SSG”) Form CRS and Account Agreement