USA Patriot Act

Important Information You Need to Know about Opening a New Account
Please read this notice about the USA PATRIOT Act (the "Act") carefully. It provides information about the identity verification practices of MB Trading and MB Trading Futures, Inc., (collectively referred to as "we" and "our"), which are affiliates under common control. To help the government fight the funding of terrorism and money laundering activities, federal law requires financial institutions to obtain, verify and record information that identifies each person who opens an account.

This notice answers some questions about our Customer Identification Program.

What types of information will I need to provide?When you open an account, your firm is required to collect the following information:

• Name
• Date of birth
• Address
• Identification number:
  • U.S. citizen: taxpayer identification number (Social Security number or employer identification number)
  • Non-U.S. citizen: taxpayer identification number; passport number and country of issuance; alien identification card number; or government-issued identification showing nationality, residence and a photograph of you.

You may also need to show your driver’s license or other identifying documents.

A corporation, partnership, trust or other legal entity may need to provide other information, such as its principal place of business, local office, employer identification number, certified articles of incorporation, government-issued business license, a partnership agreement or a trust agreement.

U.S. Department of the Treasury, SEC, FINRA, CFTC, and NFA rules already require you to provide most of this information. These rules also may require you to provide additional information, such as your net worth, annual income, occupation, employment information, investment experience and objectives and risk tolerance.

We must, among other things, obtain, verify, and record information that identifies each prospective customer who wishes to open an account, with exceptions for certain types of accounts. We must ask for certain information, and must also verify the information provided through the use of available data and/or documents. We are also required by the Act to monitor and report to the government suspicious activity in customers' accounts.

To comply with the Act, we take many steps to verify the identity of persons opening new accounts, including:

• Verifying the identity of prospective customers.
• Consulting applicable government agency lists of known or suspected criminals, terrorists and terrorist organizations to check if someone trying to open or maintain an account is on any such list.
• Conducting, in certain circumstances, additional due diligence when accounts are opened, including requesting information about the source of funds deposited into such accounts.

What happens if I don’t provide the information requested or my identity can’t be verified?We may not be able to open an account or carry out transactions for you. If your firm has already opened an account for you, they may have to close it.

We hope you will support our efforts to comply with the Act and deny terrorists and money launderers access to America's financial system. If you have any questions, please call us at (866) 628-3001.