CAPIS maintains memberships in all major domestic and international markets, including AMEX, FINRA, and 3 seats on the NYSE. CAPIS is regulated by the SEC, NYSE, SIPC, and FINRA.

Investorside
CAPIS is an Investorside™ Research Association Certified Provider. Investorside™ is an organization committed to increasing investor and pensioner trust in the U.S. capital markets system through the promotion and use of investment research that is financially aligned with investor interests. For more information, visit www.investorside.org .

The Alliance in Support of Independent Research
The Alliance in Support of Independent Research 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.

Research Partners
CAPIS has partnered with a number of independent research providers in the industry: TrendMacrolytics, Lotus Financial Investments, LLC, Farmhouse Equity Research, Moss Creek Capital, Peter Cole & Company, and Ryan Labs, among others.