Privacy policy

Pursuant to Title V of the Gramm-Leach-Bliley Act (GLBA) and the U.S. Securities and Exchange Commission (SEC) Regulation S-P (17 CFR 248.1-248.30), we are required to notify you of NuDay Capital Corp.’s (NuDay Capital) Privacy Policy.

This disclosure is intended to notify you of the uses we make of the non-public financial and personal information we obtain about you in the course of providing brokerage services for you. NuDay Capital is a New York Corporation with a main office located in New York City, New York.

NO SALE OF YOUR NON-PUBLIC FINANCIAL AND PERSONAL INFORMATION NuDay Capital DOES NOT SELL YOUR NON-PUBLIC FINANCIAL OR PERSONAL INFORMATION. NON-PUBLIC FINANCIAL AND PERSONAL INFORMATION COLLECTED The information collected and maintained by NuDay Capital in transacting securities information on your behalf includes, or may include, the following types of non-public financial and personal information:

1. Information from you: information you provide on new account form(s); whether provided in writing, in person, by telephone or facsimile, via electronic communication or any other means; such as your name, telephone number, address, social security number, tax ID number, assets, income, investment objectives, financial situation, employer, age and previous securities experience.
2. Information about your securities and/or other transactions:
   • information NuDay Capital collects and relates to account(s) balance, payment history, trading activity and any other transactions, which take place through or affect transactions which take place through NuDay Capital; and
   • information NuDay Capital collects as part of servicing your account(s).
3. Information about your transactions with non-affiliated third parties:
   • information from non- affiliated third parties pursuant to law, rules, regulations, standard securities industry practice and/or legal process, including documents received, shared, produced or provided in connection with a subpoena, discovery request or other legal process compelling production; and
   • information from non-affiliated third parties related to servicing your account(s).

NON-PUBLIC FINANCIAL AND PERSONAL INFORMATION DISCLOSED TO AFFILIATES AND NON-AFFILIATED THIRD PARTIES NuDay Capital discloses to affiliated and non-affiliated third parties non-public financial and personal information only in connection with the conduct of its securities brokerage business. Such disclosures may include, among other things, information related to transactions, settlement, billing, payment, processing, clearing, transferring, reconciling, collection or tax reporting. Disclosures may be made to affiliates or non-affiliated third parties:

1. as required or necessary to carry out fully and properly the securities business conducted by NuDay Capital;
2. as required by law or legal process;
3. with your consent;
4. to resolve customer disputes;
5. when requested by a fiduciary or beneficiary on the account;
6. when requested by the client’s attorney(s) or accountant(s);
7. when required by a regulatory agency, or for other reasons required or permitted by law; or
8. in connection with a sale or merger of the firm’s business.

FORMER CUSTOMERS The same protections for non-public financial and personal information of current customers of NuDay Capital apply to information regarding former customers: disclosure is made only as permitted/required by law or legal process, or with your consent.

CONFIDENTIALITY AND SECURITY OF NON-PUBLIC FINANCIAL AND PERSONAL INFORMATION NuDay Capital is committed to implementing and maintaining commercially reasonable and appropriate measures to maintain the privacy and confidentiality of the non-public financial and personal information we collect and maintain about you. Our procedures for insuring this include, at a minimum, the following: – Access controls on customer information systems, including controls to authenticate and permit access only to authorized individuals, as well as physical access controls. – Policies restricting the provision of non-public financial or personal information to anyone other than the customer over the phone. – Pre-employment screening, including fingerprinting of all employees with responsibilities for or access to non-public financial or personal information. NuDay Capital regularly reviews and may revise, or update its privacy policies and systems at any time, in accordance with changes in technology or legal requirements.

OPT-OUT PROVISIONS Since sharing information under the circumstances noted is necessary to service the client account or mandated by competent authority, NuDay Capital does not have any opt-out provisions.

SEC DISCLOSURE
Disclosure of SEC Required Order Routing Information The following is a Regulatory disclosure report that has been prepared to assist our customers and the general public. Click here