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Regulatory Information

The Regulatory Information page lets you update the regulatory information for your account. You originally provided this information in your account application.

Who can access the Regulatory Information page?

You can access this page if you are a(n):

• Individual, Joint or Trust Account User
• Small Business Account User
• Friends and Family Group Master or Client
• Advisor Master Individual
• Advisor Client Individual
• Fully Disclosed Broker Client

To update your regulatory information

1. Click Settings Account Settings.
2. In the Configuration panel, click the Configure (gear) icon for Regulatory Information.

Note: Depending on where you are located, the actual questions that appear may be different from those shown in the image above.

3. Update your regulatory information as required, and then click CONTINUE. For each question on the page, answer Yes or No using YES/NO toggle switch. Depending on your answers, some questions will require you to enter additional information.
4. Verify your changes, then click CONTINUE.
5. Click OK.