Money paid by Schwab for research and services that assist in the investment decision-making process for the benefit of all ZWJ clients
What are soft dollars?
200
A regulatory body that establishes laws and rules and monitors the activities and compliance programs of Registered Investment Advisors
What is the Securities and Exchange Commission (SEC)?
300
Putting your own interest first…helping yourself more than helping the client
What is conflict of interest?
300
Our current method of maintaining books and records in an indexing format so that it can be easily retrieved
What is electronic filing (Docstar)?
300
Supervised persons who have access to client nonpublic information, or is involved in making securities recommendations to clients
What are access persons? ALL employees of ZWJ are considered access persons
300
The requirement that an investment adviser execute securities transactions for clients in such a manner that the client's total cost or proceeds in each tranaction is most favorable under the circumstances
What is best execution?
300
The residence of Brad Young, 2589 Brookwood Drive, Atlanta Georgia 30305
Where is the ZWJ Disaster Recovery Site?
400
Must provide to Robin within 30 days of the quarter end
What is Quarterly Transaction Reports?
400
Notice, circular, letter or other written communication addressed to more than one person which offers anaylsis, report or publication concerning securities or any other investment advisory service
What are marketing materials?
400
ZWJ's statement to prospective and current clients regarding confidentiality
What is ZWJ's Privacy Policy?
400
Recommendations on social media sites, such as Linked In, Twitter, or Facebook
What are testomonials?
400
Required by the SEC, standard of conduct, disclose conflicts of interest, reaffirms our fiduciary duty
What is Code of Ethics?
500
Substantial likelihood that a reasonable investor would consider this important in making investment decisions, such that disclosure would have an effect on the price of a company’s securities
What is material information?
500
A post on Linked-In, our website or marketing brochure indicating that we have provided them with the best advisory services ever!!
What is a recommendation or testimonial?
500
So that we can provide confidential client information to a third party such as Chicago Clearing Corporation, a client must be offered this form with the option NOT TO participate
What is an opt-out form?
500
Puts/Calls on ZWJ Active List stocks, as well as Initial Public Offerings (Covered calls are exceptions)
What are prohibited transactions in the personal accounts of ZWJ employees?
500
Must provide to Robin within 30 days of the quarter end