Legal, Compliance and Ethical Standards of George K. Baum & Company ("GKB"):

One of GKB’s “Guiding Principles” is “Uncompromising Standards.”  That principle states:  “The pre-eminent reputation and integrity of the firm are paramount in our ability to serve our clients.  We will maintain the highest ethical standards, both personally and professionally.”  These are not just words to GKB and its employees: GKB expects that all of its employees will honor and act in accordance with this guiding principle and also in accordance with GKB’s policies and procedures for its business and employees.

GKB diligently will take all reasonable and appropriate steps to conduct its business: consistent with the highest standards of commercial honor and just and equitable principles of trade (see, e.g., FINRA Rule 2010 and MSRB Rule G-17); and in accordance with all applicable laws, rules and regulations. 

GKB’s principal securities regulator is the United States Securities and Exchange Commission (“SEC”) (www.sec.gov) and its principal securities self-regulator is the Financial Industry Regulatory Authority (“FINRA”) (www.finra.org). 

The trust of GKB’s customers and GKB’s reputation are of paramount importance to GKB.

Effective direct/line supervision and compliance are integral parts of achieving the Firm’s goals and serving its customers.

GKB’s Chief Compliance Officer is Dana Bjornson (bjornson@gkbaum.com).   Please direct any compliance-related questions or concerns to him or to any other member of the GKB Compliance Department.

Disclosures and Other Information:

BCP Summary
AML Notice
SEC Rule 606 Reporting
Statement of Financial Condition
SIPC Protection
Margin Disclosure Statement
Technical Information
Privacy Policy
General Terms & Conditions
Trade Confirmation Disclosures
MSRB and FINRA Joint Investor Education Notice About Municipal Bonds
Investor Guide: Collateralized Mortgage Obligations, CMOs
MSRB Fact Sheet:  Seven Questions to Ask When Investing in Municipal Bonds
EMMA Investor Education Materials