Regulation S-P

The Griswold Company does not disclose any information about our customers to any unrelated third-party entity. The Griswold Company does not reveal and is not compensated in any way for customer information. All information is treated as confidential.

The Griswold Company clears its customer trades on a fully disclosed basis with Goldman Sachs, and all customer account information is maintained on file at the clearing broker.

The Griswold Company is examined on an annual basis by regulatory agencies and certified public accountants. In the course of their reviews customer files may be examined. However, all information is treated confidentially.