Regulatory Disclosures

Disclosure Documents

Daiwa Capital Markets America Inc. is a corporation organized under the laws of the State of New York, a broker-dealer registered with the U.S. Securities and Exchange Commission, a futures commission merchant regulated by the Commodities Futures Trading Commission, and a primary dealer with the Federal Reserve in U.S. government securities.

Daiwa Capital Markets America Inc. is a member of FINRA and SIPC. When a broker firm fails, SIPC protects securities and cash in a customer’s brokerage account up to $500,000 (including up to $250,000 for claims of cash). See explanatory brochure at www.sipc.org or obtain one by contacting SIPC by phone at +1 202 371 3800.

AML Statement of Policy

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CFTC Rule 1.55 Disclosure

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Annual Omnibus Disclosure Document

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Client Notice Executive Order 13959

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311 Notice

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Disclosure to Fixed Income Products Clients

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DCMA Privacy Policy Notice 2020

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408(b)(2) ERISA Disclosure

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Client Letter for Sophisticated Independent Fiduciaries

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Article 15 SFTR

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SEC Rules and Regulations

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BCP Plan

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Financial Disclosures

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SEC Rule 605 and 606

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