Privacy Policy
The Securities Exchange Commission recently enacted Regulation S-P, the “privacy rule” in response to the Gramm- Leach-Bliley Act. The rule requires all broker-dealer firms to provide all of its customers and consumers a disclosure statement, outlining the firm’s procedures and policies regarding the safeguarding of “non-public personal information” that is obtained during the normal course of business.
Merlin Securities, LLC understands your Privacy is important and the firm has always been committed to maintaining your confidentiality. This notice will help you understand what types of nonpublic personal information ñ information about you that is not publicly available ñ we may collect, how we use it and how we protect your privacy. We recognize that you expect your personal information to be handled in a professional, confidential manner and we have adopted the following policies to safeguard your privacy and to explain the circumstances under which we may collect, maintain and use any non-public personally identifiable information that you may provide us.
We collect information about you to help us serve your financial needs, provide customer service, offer new products or services, and fulfill legal regulatory requirements. The type of information we collect may include:
- Information we receive from you on applications or other forms (for example, your name address, social security number, assets and income).
- Information about your transactions with us or others (for example, your account balance, payment history, or parties to transactions).
- Information that we receive from a consumer reporting agency (for example, your creditworthiness and credit history).
We do not share non-public personal information about you with unaffiliated third parties with whom we have no contractual business relationship for their independent use unless (1) you give us permission, (2) it is necessary to complete a transaction on your behalf, (3) it is necessary to protect against fraud, comply with a subpoena or other court order or is otherwise required or permitted by law. We do not sell information about you to outside unaffiliated companies.
Further, we restrict access to your personal and account information to those employees who need to know that information to provide products or services to you and maintain strict physical, electronic, and procedural safeguards to guard your non-public personal information.
If you decide to close your accounts(s) or become an inactive customer, we will adhere to the privacy policies and practices as described in this notice.
We reserve the right to change these privacy policies at any time. You will receive appropriate notice of changes to our Privacy Policy. You may opt-out of the disclosure of non-public personal information to a non-affiliated third party by giving us notice in writing or e-mail.
SEC Rule 606
MERL (J.P. Morgan Clearing Corporation)
NYSE Rule
Merlin Securities Website Disclaimer
Merlin Securities, LLC (“Merlin") provides the material on its web site for informational purposes only. By using this web site, you agree to the following terms and conditions and acknowledge reading them:
- Links – This web site may contain links to other web sites. The inclusion of any link on our web site does not imply any association or relationship between Merlin and the person sponsoring the linked site nor does it constitute or imply any endorsement, approval or sponsorship of the linked site by Merlin.
- No Offer – The information and material presented in this site are provided for informational purposes only and are not to be used or considered as an offer to sell or solicitation of an offer to buy securities or other financial instruments, or any advice or recommendation with respect to such securities or other financial instruments.
- No Warranty or Liability – The information provided on this web site is provided "as is" without warranty of any kind, either express or implied, including without limitation warranties of merchantability, fitness for a particular purpose or noninfringement. Merlin periodically adds, changes, improves, or updates the information and documents on this web site without notice. Merlin assumes no liability or responsibility for any errors or omissions in the content of this web site. Your use of this web site is at your own risk. Under no circumstances and under no legal theory shall Merlin, its suppliers, or any other party involved in creating, producing, or delivering this web site's contents be liable to you or any other person for any indirect, special, incidental, or consequential damages of any character arising from your access to, or use of, this web site.
- Intellectual Property Rights – All the text, graphics, audio, design, software and other works on this site are protected under copyright laws and are the trademarks, trade dress and/or other intellectual properties owned, controlled or licensed by Merlin. No part of these materials may be copied, reproduced, stored, republished, posted, transmitted or distributed in any form or by any means without the prior written permission of Merlin.
Merlin Securities Futures Disclaimer
Futures trading involve substantial risk. The valuation of futures may fluctuate, and as a result, clients may lose more then their original investment and in respect of these products as well as other products traded on margin, you may have to pay more later. You should not invest in such products unless satisfied that they are suitable for you.