Memberships and affiliations

CAPIS maintains memberships and is affiliated with the following organizations.

CAPIS is an active member in The Alliance in Support of Independent Research, 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. Alliance members also work to preserve the umbrella of protection that Section 28(e) of the Securities Exchange Act of 1934 provides to fiduciaries that 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.

Security Traders Association – CAPIS is a member of the National Security Traders Association. The STA is a grassroots organization comprised of 24 Affiliates in the U.S. and Canada. STA members represent individuals employed in the financial services industry across varying business models. STA educates its members on market structure issues while representing their interests with legislators, regulators and other industry associations. STA events keep attendees informed on industry trends and provide unique networking opportunities, which contribute to career development and productivity. STA is committed to promoting goodwill and fostering high standards of integrity in accord with its founding principle, dictum meum pactum, my word is my bond. Currently, CAPIS’ Chris Halverson is serving as Chairman of STA. Halverson has 22 years of experience in financial services. In 1999, he began working for Capital Institutional Services, Inc. (CAPIS), a Dallas-based institutional broker/dealer. Prior to that, Halverson was a commodities trader at the Chicago Board of Trade, advising institutional accounts on hedging in the futures markets. He joined the DSTA Board in 2008, serving as President in 2014. As a Senior Vice President, he covers a wide variety of firms, including investment managers, banks, pension funds and consultants. Halverson graduated with a bachelor’s degree in finance and economics at Spring Hill College in Mobile, Alabama. He married his wife, Julie, in 2007, and has two daughters, Lauren and Caroline. Away from work, he enjoys spending time with his family, traveling, snowboarding, golf and tennis. Term expires Dec. 31, 2020

Dallas Security Traders Association – CAPIS is an active member of the DSTA. The DSTA is a non-profit organization affiliated with the Security Traders Association, Inc. Established in 1955, DSTA is an affiliate of the Security Traders Association (STA), the leading trade organization for individual professionals in the securities industry that works to improve the ethics, business standards and working environment for its members. The operations of the association are conducted principally in Dallas, Texas and the annual member meeting is held in Dallas during the month of December.