USA
日本語 International  
Global Trading & Investment Services
   
  NWT Home  Company Overview    NWT Financial Blog  Trading Login  Client Login  Contact Us
  About NWT Financial Group
Company Overview
Chairman's Message
Management Team
Clearing Partners
Strategic Partners
News & Press Releases
NWT Financial Blog
Compliance & Legal
 
Daytrading Disclosure
Customer Identification
Penny Stock Disclosure
Investor Links
Breakpoint Disclosure
Margin Account Disclosure
Business Continuity Plan
NWT Privacy Policy
Terms of Use
Extended Hours Trading
Penson Rule 606 Disclosure
Rule 2361
Contact Us
   
 
 
 
 
 
  Compliance & Legal Information
NWT management, including our President and chief compliance officer, take an active role in dealing with compliance and regulatory issues.  In this section, you'll find a complete listing of documents provided by our Compliance Department, designed to assist both branch offices and institutional clientele.  For additional questions or concerns, please contact us at 1.877.644.1112.
 
 
Compliance Documents
 
NWT Daytrading Disclosure Margin Account Disclosure
Customer Identification Disclosure Business Continuity Plan
Penny Stock Disclosure After Hours Trading Statement
Investor Links Penson Rule 606 Disclosure
Breakpoint Disclosure Statement NASD Rule 2361 Daytrading
 
NWT Compliance Department
 
Among the support available from the NWT Compliance Department:
 
Assistance and guidance with OSJ Supervisory Activities
   
Guidance with Outside Business and Account Activities
   
Home Office Supervision Services
   
Direction with Record-keeping Requirements
   
Anti-Money Laundering Related Services
   
Assistance with Regulatory Inquiries and Audits
   
Assistance with Sales Practice Issues
   
 
Need additional help?  Contact a designated NWT representative at 1.877.644.1112 or email us at info@nwtfinancialgroup.com.
 
    

NWT Financial Group, LLC
275 1st Place NW
Issaquah, WA 98027

Corporate Office Phone (877) 644-1112
Corporate Office Fax (425) 295-0401
  More Information
 
EMS Provider Information
Press Releases / News
Clearing Partners
White Papers/Research
Management Team
Contact Us
 
  NWT Financial at a glance
  [PDF / 5 pages / 245 KB]
 
 
     Privacy & Security          Disclosures & Legal Documentation   © Copyright 2008 NWT Financial Group, LLC

Member FINRA SIPC | Washington State LLC

All information contained herein is for informational purposes only. Providing said information does not in any form - oral, written, or otherwise - create, establish or develop any relationship between NWT Financial Group, LLC. and the reader of the information on this site.