Investment Broker Mailings from SII

SII Investments, Inc. (SII) issues a number of client communications and investment broker mailings on behalf of its registered representatives. Many of these mailings are required by the Financial Industry Regulatory Authority (FINRA), the Securities and Exchange Commission (SEC), and/or local state governments to ensure client investment objectives are being met.

The chart below helps to explain mailings you (as a client or investor) may have received from the SII independent broker/dealer.

Mailing Type When Sent Why Receiving Questions - Contact
Investment Advisory Program Premier Sponsor Program and Revenue Sharing Disclosure Yearly – August SEC Regulation
Wrap Fee Brochure Annual Mailing Letter Yearly between April-May SEC Regulation
Annual Privacy Policy Yearly – October FINRA, SEC, and State regulations
Customer Account Notifications Within 30 days of acceptance of an account update or a new account* Confirm information with the client and FINRA rule 17a-3
36-Month Mailing Every 36 months* FINRA rule 17a-3
Annual Offer Yearly between Nov-Dec SEC Brochure Rule 204-3
ADV Mailing Yearly between April-May SEC Regulation

*Includes a cover letter explaining the reasons for the mailing and any required actions needed, a detailed account profile containing information found on the client New Account Form, and a copy of SII’s definitions of investment objectives and risk tolerance.