MEMBERSHIPS & AFFILIATIONS
CAPIS maintains memberships in NYSE, FINRA, NFA, and SIPC.
INVESTORSIDETM RESEARCH ASSOCIATION
CAPIS is an InvestorsideTM Research Association certified provider. The Investorside Research Association is a non-profit trade association of investment research providers that do not engage in investment banking, company consulting or research-for-hire. Investorside members constitute the leading investment research firms in the world, providing research that works purely for investors. For more information, visit www.investorside.org.
THE ALLIANCE IN SUPPORT OF INDEPENDENT RESEARCH
CAPIS is an active member in the Alliance in Support of Independent Research. The Alliance is a group of broker-dealers who share a common interest in fostering a favorable regulatory environment in which research services and products may be furnished to the money management community, and in preserving the umbrella of protection Section 28(e) of the Securities Exchange Act of 1934 provides to fiduciaries who receive all forms of investment research. A primary goal of the Alliance is to promote the observance of proper standards under the securities laws for disseminating research and achieving best execution of portfolio transactions for managed accounts. For more information, visit www.alliance-research.org.