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Account Protection

As a member of the Securities Investor Protection Corporation (SIPC), funds are available to meet customer claims up to a maximum of $500,000 in cash and securities with a $100,000 cash maximum. In addition to SIPC protection, Penson Financial Services, Inc. maintains Excess SIPC insurance that covers the loss of customers' securities and cash (but does not protect against market losses), subject to certain conditions and limitations, up to an aggregate limit of $200,000,000 with a $900,000 cash maximum across all customer accounts.

Note: SIPC and Excess SIPC provide coverage against loss of securities and cash, not against market depreciation, fluctuation in market value of your securities or a trading loss.

Disclosures

Anti-Money Laundering Policy | Day Trading Margin Rules | Day Trading Risk Disclosure | Good Faith Violation

All securities and services are offered through Regal Securities, Inc., Member FINRA / SIPC, a registered broker dealer. Securities products offered are not guaranteed or endorsed by Regal, are not FDIC insured and may lose value. None of the information contained herein should be construed as an offer to buy or sell securities or as a recommendation. Specific recommendations are based on a review of each client’s particular financial circumstances. System response and account access times may vary due to a variety of factors, including trading volumes, market conditions, system performance, and other factors.