ROSENTHAL COLLINS GROUP LLC
216 West Jackson Boulevard Suite 400 Chicago Illinois 60606
Disclosure Booklet A
Information & Disclosure Statements
Opening your Account at RCG….
We are pleased that you have selected Rosenthal Collins Group, L.L.C. ("RCG") as
your brokerage firm. For your convenience, we have included all necessary forms and information in two booklets. Booklet A includes information and Disclosure Statements, and Booklet B, C, D or E contains Customer Information and Agreements.
You must do the following to open your account at RCG:
Carefully read the information and Disclosures contained in Booklet A and retain for your records. Complete the required sections of Booklet B, C, D or E and return the entire booklet to your Account Executive.
If you have any questions concerning the opening of your account, please contact
your Account Executive. Table of Contents
Notice to Introduced Customers ………………………………………………………………………...page 3 Funding Your Account ……………………………………………………………………………………page 3 Risk Disclosure Statement for Futures and Options …………………………………………………..pages 4-5 Risk Disclosure Statement for Security Futures Contracts ……………………………….…………..pages 6-21 Electronic Trading Disclosure Statement ……………………………………………………………….page 22 Notification Regarding Access to Exchange Market Data …………………….………………………page 23 Regulation 190.10 Non-Cash Margin Disclosure ………………………………………………………page 24 Notice to Foreign Brokers and Foreign Traders ………………………………………………………..page 25 RCG Privacy Policy ………………………………………………………………………………………..page 26-27 RCG Anti-Money Laundering Policy Statement…………………………………………………………page 28
Rev. 08/16/04
2
IMPORTANT NOTICE TO INTRODUCED CUSTOMERS
If your account has been introduced to Rosenthal Collins Group, L.L.C. ("RCG") by an Introducing Broker, we want you to be aware of the relationship between RCG, the Introducing Broker and the Account Executive who services your account in its day to day activities. Please be aware of the following: RCG will accept only funds remitted from the account holder which are made payable to Rosenthal Collins Group, L.L.C. In other words, the funds that you send to RCG must originate from an account in the same name as your account at RCG. Neither the Introducing Broker nor the Account Executive are authorized to accept funds which are made payable to anyone other than RCG. You should also know that when funds are drawn out of your account they will be made payable only to the name or names of the account holder. All questions with regard to your account should be directed to your Account Executive at your Introducing Broker. Your Account Executive will assist you in your trading. If you have granted a Power of Attorney to trade your account to a third party, trading activity is permitted in your account without your specific authorization for each trade. If you have not granted Power of Attorney to a third party, trading in your account is prohibited without your specific authorization. RCG may call for the immediate deposit of additional funds to your account should your account fall below RCG's margin requirements and may take any action necessary to protect the firm from potential losses. If you have questions regarding transactions in your account or your account statements, please direct such questions to your Account Executive at your Introducing Broker. However, if matters are not handled to your satisfaction contact the RCG Compliance Department at (312) 460-9200.

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