NEW ACCOUNT POLICY, CUSTOMER IDENTIFICATION PROGRAM

To help the government fight the funding of terrorism and money laundering activities, federal law requires Chardan Capital Markets LLC to obtain, verify, and record information that identifies each person who opens an account with us.

Therefore, as part of the account opening process we will ask for a customer name, date of birth, street address, an identification number, such as a Taxpayer ID number (social security or employer identification number) and a drivers license or other identifying documents.

For non-US citizens we will ask for a taxpayer identification number, passport number, and country of issuance, alien identification card number, or government-issued identification showing nationality, residence and a photograph of you.

A corporation, partnership, trust or other legal entity may need to provide other information, such as its principal place of business, local office, employer identification number, certified articles of incorporation, government-issued business license, a partnership agreement, or a trust agreement. U.S. Department of the Treasury, Securities and Exchange Commission, NASD, and New York Stock Exchange rules already require you to provide most of this information.

These rules also may require you to provide additional information, such as your net worth, annual income, occupation, employment information, investment experience and objectives, and risk tolerance. Your cooperation is greatly appreciated.