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 maintains the following Privacy Statement to protect the personal information you provide online. We will not sell your personal information to any non-affiliated third party, for any reason, at any time.
William O’Neil Securities’ Privacy Statement is located here. The Privacy Statement details all personal information we may collect from you, how we use it, and how we may share it. For residents of the European Union, please review William O’Neil Securities’ European Data Privacy Addendum, which is included within the Privacy Statement.
In accordance with Securities Exchange Act Rule 13h-1, market participants that conduct a substantial amount of trading activity are required to file Form 13H in order to identify themselves as a “large trader” to the SEC. The SEC assigns a large trader identification number that must be provided to the participants registered broker-dealers. Broker-dealers are then required to maintain records, including large trader transaction times, which may be required upon the request of the SEC.
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