Privacy Policy Statement

Securities Research, Inc. has adopted policies and procedures that are designed to protect the personal information of all itís clients from unauthorized use and disclosure. Securities Research, Inc. respects itís clients rights to privacy, and therefore does not disclose any non-public personal information about you or your account, except to fulfill legal and regulatory requirements. The firm maintains procedural, physical and electronic safeguards to maintain the integrity and confidentiality of all client information within our possession. Procedures for controlling access to customer files, building security programs, and information technology security measures, including the use of passwords, encryption and firewalls are maintained. Employees of the firm are permitted to access personal client information only if they have a business purpose for using such information.

Securities Research, Inc. collects client information to fulfill legal and regulatory requirements. All information gathered about our clients is considered personal and therefore subject to the privacy policy. The information we collect varies according to the type of account and services required by the client. Client information may include, but is not limited to identifying information, such as name, address, age, phone numbers, social security numbers, bank account numbers, brokerage account numbers, income, assets, liabilities, financial objectives, and employment information. This information is usually collected on forms and agreements provided to our clients, but may also be collected by our employees.

Securities Research, Inc. may provide personal information to state and federal regulators as required by law, to respond to a subpoena, court order, judicial process, or regulatory request. We also provide information to service providers who help us in day-to-day operations. Securities Research, Inc. requires all service providers to sign a confidentiality agreement, prohibiting them from the use of client information for any purpose other than that for which they were retained, or as required by law. The firmís privacy policy applies to all clients, current and past.

If you prefer that Securities Research, Inc. not disclose non-public personal information about you to non-affiliated third parties, you may opt out of those disclosures. That is, you may direct Securities Research not to make those disclosures, other than disclosures permitted or required by law. Any customer who decides to opt out of these disclosures to non-affiliated third parties must notify us by sending an e-mail to info@securitiesresearch.com. To obtain further information, please call Securities Research, Inc. at 800-327-3156