SEC Rule 11Ac1-6 Order Execution and Routing
For information about order routing in First Wilshire Securities brokerage accounts, please go to the website at www.mysecuritiesaccount.com. Click "Order Routing", and enter "First Wilshire Securities", press "Go". The left side of the screen offers order routing choices by market (NYSE, NASDAQ, Amex/others, Listed Options).
On written request, First Wilshire Securities will disclose to its customers the identity of the venue to which the customer’s orders were routed for execution in the six months prior to the request, whether the orders were directed orders or non-directed orders, and the time of the transactions, if any, that resulted from such orders.
FINRA Public Disclosure Hotline
FINRA offers investors information and education through the FINRA Public Disclosure Hotline at 800-289-9999 and the FINRA website at www.finra.org. FINRA makes available to customers an investor brochure that includes information describing the Public Disclosure Program.
We take your privacy seriously. We want you to understand what information we collect and how we use it. We collect and use "nonpublic personal information" from our new account forms to help us determine suitability for certain investments, as a tool in obtaining your investment objectives, and to satisfy the requirement of various regulatory agencies that govern us.
We do not disclose nonpublic personal information about you to non-exempt third parties. Proof of your permission is required before we will send information to non-exempt third parties. Examples of a situation requiring your approval includes requests for information to be sent to an accountant or in loan approvals.
We may also collect "nonpublic personal information" about you from data we receive from non-affiliated third parties, including consumer and industry reporting agencies.
We maintain physical and electronic safeguards to protect your nonpublic information.
Form ADV Part II
A copy of the brochure will be provided upon written request.