Portfolio Connection Brokerage Account - Union Bank

Table of Contents
1. GENERAL DISCLOSURES AND DEFINITIONS
A. Meaning of Words in This Agreement
B. Customer Identification Program (CIP) Notice
C. Customer Due Diligence
D. English Language Controlling
E. Headings
F. Business Days
G. Transaction Settlement Deadlines
H. Extraordinary Events
I. Governing Law and Applicable Regulations
J. Clearing Broker Relationship/Safekeeping
K. Notice to Customers
L. Contacting Me by Telephone
M. Amendments/Termination
N. Waivers
O. Severability
2. BROKERAGE FEATURES
A. General
i. Authority and Ownership
ii. Appointment of Investment Services as Agent
iii. Investment Objectives
iv. Fees and Charges
v. Statements/Confirmations
vi. Statement Householding
vii. Use of Nominees
viii. Use of Institutional Delivery System
ix. Collection Obligations
x. Non-Personal Transactions or Instruction Requests
xi. Corporate Actions and Advice
xii. Account Information Released to Issuers of Securities
xiii. Purchase and Sale Orders/Interest and Dividends/
Custody
a. Purchase and Sales Orders
b. Interest and Dividends
c. Custody
xiv. Core Account Investment Vehicle
a. Money Market Mutual Fund
b. Bank Deposit Sweep Program
c. General Information
xv. Joint Accounts
xvi. Power of Attorney
xvii. Security Interest
xviii. Taxation of Account
xix. Account Protection
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