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Compliance & Supervisory Procedures Manual
00.00 Forward
01.00 Personnel Licensing and Registration
01.01 Exhibit- List of Supervisory and Registered Personnel
01.05 – Exhibit Termination Procedures
02.00 Standards of Conduct
03.00 General Supervision
03.02 Exhibit – Supervisory Procedures Attestation
04.00 Continuing Education and Training
05.00 Books and Records Requirements
05.03 Exhibit – Books and Records Retention List
06.00 AIC Financial Reporting
07.00 Communications with the Public
08.00 Customer Accounts and Transactions
08.06 Exhibit – OATS Recording of Order Information
09.00 Privacy Policies and Procedures (Regulation S-P)
10.00 Anti-Money Laundering Procedures
10.05 Exhibit – Legal Entity Customer Due Diligence Certification Form
11.00 OSJ Branch Office Procedures
11.01a Exhibit – OSJ Office Compliance Requirements
11.01b Exhibit – Non-OSJ Branch Compliance Requirements
11.01c Exhibit – Satellite Office Compliance Requirements
11.02 Exhibit – Designated OSJ Branch Office Review Cycle
12.00 Corporate Fixed Income Securities & TRACE
13.00 Direct Participation Programs
14.00 General Equities
15.00 Government Securities
16.00 Independent Contractors
17.00 Municipal Securities
18.00 Mutual Funds
19.00 Private Placements and Offerings
20.00 Variable Contracts
Continuing Education & Training
Al Insight
Continuing Education Needs Analysis & Training Plan
Indexed Annuities
Indexed Annuities Frequently Asked Questions
Indexed Annuity Client Disclosure Form
Policies and Guidelines for Indexed Annuities
Miscellaneous
State registrations
AIC Cybersecurity Policy
AIC Signature Guarantee Policy
Do Not Call List
Office Compliance Requirements
OSJ Office Compliance Requirements
Non-OSJ Branch Compliance Requirements
Satellite Office Compliance Requirements
Seminars & Other Speaking Engagements
Seminar/Event Review Process
Seminar/Marketing Event Request Approval Form
Supplemental Guidance for Seminars/Events
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American Investors Company

12667 Alcosta Blvd., Suite 160
P.O. Box 1307
San Ramon, CA 94583

info@americaninvestorsco.com
925-866-2882

Member: FINRA / SIPC

Registered Investment Adviser

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