Burnham Employee Booklets: handbook, policy & procedure manuals and other disclosures

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rvalle@bsibam.com

DATE:

2015-05-04 21:55:35

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hbiden@rosemontseneca.com

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jpeugh@rosemontseneca.com

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Hunter and Joan-

Attached are the following employee handbooks:
Employee Handbook
Policy & Procedures Manual
AML Program
Code of Ethics


Please return the last form to me as soon as possible:
Acknowledgement form for receipt of the handbooks/manuals

A Burnham employee is prohibited from having brokerage accounts at another broker-dealer unless the employee gives written notice to the Manager and/or Compliance Officer, Debra Hyman or W. Nolan Sheehan. If an "outside" account is approved the employee must make sure that a copy of the monthly statements and trade confirmations for outside accounts are sent to Burnham's Compliance Officer, Debra Hyman.

Thank you-
Rosa Valle, Controller
Burnham Securities Inc., 1325 Ave of the Americas-26th Floor, NY, NY 10019
212-603-7515 (phone), 212-603-7525 (fax)

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TOPIC: Burnham Employee Booklets: handbook, policy & procedure manuals and other disclosures

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