The confidentiality of client information is an important concern to Family Investors Company. We take precautions to safeguard client personal information at all times, and we will remain alert and vigilant in protecting that information. The provisions of this privacy notice will apply to former clients as well as current clients.
Family Investors Company collects personal information about you that is either required or necessary to provide you with financial products or services. We may obtain this information from the following source:

• Information we receive from you on account applications, forms and other information that you provide to us, whether in writing, in person, by telephone or by any other means. This information may include your name, address, telephone number, social security number, driver’s license number, occupation, assets and income.

Family Investors Company will not disclose nonpublic personal information to affiliates or nonaffiliated third parties, except as permitted by law, where we believe in good faith that disclosure is required under law to cooperate with regulators or law enforcement authorities.
We trust that this clarifies Family Investors Company’s position on client confidentiality, and look forward to being of service to you.

Revised 2008

Additional Disclosures

SEC Rule 606 ("Rule") requires all broker-dealers that route orders in equity and option securities to make available quarterly reports that present a general overview of their routing practices. The reports must identify the significant venues to which customer orders were routed for execution during the applicable quarter and disclose the material aspects of the broker-dealer's relationship with such venues. In addition, the Rule requires broker-dealers to disclose, on customer request, the venues to which the customer's individual orders were routed.

In addition, broker-dealers must respond to customer requests for individual information on customer orders that were routed for execution in the six months prior to the request, whether the orders were directed or non-directed, and the time of the transactions, if any, that resulted from such orders.

Rule 606 Report for Family Investors Company