William O’Neil Securities, a broker/dealer, is a strictly regulated entity. As such, the company adopts policies to comply with all rules and requirements that are relevant to our business.
William O’Neil Securities and its affiliates do not engage in investment banking and do not make a market in any securities. Neither William O’Neil Securities nor any of its affiliates have, during the past 12 months, received any compensation from any of the companies discussed in the third party research reports distributed by William O’Neil Securities. None of the companies discussed in such reports are, or have been during the past 12 months, clients of William O’Neil Securities or its affiliates.
All orders received by William O’Neil Securities must be marked as “held”, meaning that William O’Neil Securities will execute your order at the earliest possible time, or “not held”, meaning that William O’Neil Securities has time and price discretion over the order on the day it is entered. Orders that are received without a “held” or “not held” designation will be marked and executed as “not held” by William O’Neil Securities “Not Held” orders give the Firm the flexibility and discretion to act in your best interest by working your orders to obtain the best possible price.
William O’Neil Securities does not maintain proprietary positions in any securities. Employees of William O’Neil Securities and/or affiliates may now or in the future own positions in the companies discussed in the third party research reports distributed by William O’Neil Securities. As of the end of the month immediately preceding the date of publication of such reports, none of such employees or affiliates beneficially owned 1% or more of the common equity securities of any of the companies discussed in such reports.
Pursuant to SEC Rule 9b-1 and various exchange rules, William O’Neil Securities (ONS) is required to provide all clients who trade options or who receive options-related sales materials, a current copy of the Options Disclosure Document (“ODD”) including supplements, issued by the Options Clearing Corporation. A copy of the ODD can be found here: http://www.theocc.com/about/publications/character-risks.jsp
The information contained herein is not and should not be construed as an offer to sell or the solicitation of an offer to buy or sell any securities. Any equity ideas noted herein are not, and should not be construed as a recommendation or rating to buy, hold or sell any security. The information set forth above has been obtained from sources that we believe to be reliable; however no guarantee is made or implied with respect to its accuracy or completeness. The information and content herein are subject to change without notice and William O’Neil Securities, Incorporated, its parent company, affiliates, subsidiaries, employees, officers, agents, or representatives may from time to time have long or short positions or may acquire a direct or indirect beneficial interest in securities mentioned in this communication.
Institutional orders are not accepted via Instant Messaging until confirmed by a William O’Neil Securities trader.
Instant messages are intended to be received by the named party. In the course of servicing our clients’ need for market and trade information, O’Neil Traders may communicate market and/or stock information consistent with normal business practices and based upon individual client expectations for such. The market and/or stock information should not be construed as an offer to sell or the solicitation of an offer to buy or sell any securities, nor should any stocks mentioned be construed as a recommendation or rating to buy, hold or sell any security. The O’Neil Trader sending the information, or its parent company, affiliates, subsidiaries, officers, employees, agents or representatives may from time to time have long or short positions or may acquire a direct or indirect beneficial interest in securities mentioned in such communications.
Communications may contain confidential, proprietary or legally privileged information. No confidentiality or privilege is waived or lost by any transmission errors. Message transmission is not guaranteed to be secure.
If you receive a message in error, please immediately delete it and all copies of it from your system, destroy any hard copies of it and notify the sender. You must not, directly or indirectly, use, disclose, distribute, print, or copy any part of such message if you are not the intended recipient.
Communication Review – William O’Neil Securities monitors and records all communications. We reserve the right to audit and review all correspondence for compliance purposes.
Trade Review – William O’Neil Securities has in place appropriate governance policy to address the potential for conflicts of interest and enforces such with dedicated procedures to closely monitor personal trading.
Questions regarding William O’Neil Securities' Compliance Controls should be directed to compliance@oneilsecurities.com
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