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Disclosures

Here you can find Disclosures for SEC-Required Order Routing Information, Business Continuity Plan and the FINRA Website.

SEC Rule 605:

In 2000, the Securities and Exchange Commission (“SEC”) adopted Rule 605 (formerly 11Act-5). The Rule requires market centers to prepare and make available to the public monthly reports in electronic form that categorize their order executions and include statistical measures of execution quality. Paragraph (a)(14) of the Rule defines the term ‘market center’ as any exchange market maker, OTC market maker, alternative trading system, national securities exchange, or national securities association. This definition is intended to cover entities that hold themselves out as willing to accept and execute orders in national market system securities. Since exiting market making business at the end of 2009 the above definition is no longer applicable to David A. Noyes & Company.

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