Browse our compliance documents

Our most requested compliance documents can be found here.  If you do not see the document you are looking for, please contact your account executive or call 800-247-6729.

Reg NMS 606 Report - 2021 Q1

Posted on April 27, 2021 by CAPIS

Reg NMS 606 Report - 2021 Q1 (XML)

Posted on April 27, 2021 by CAPIS

CAPIS 2020 Statement of Financial Condition

Posted on March 18, 2021 by CAPIS

CAPIS Policy Statement

Posted on March 16, 2021 by CAPIS

Reg NMS 606 Report - 2020 Q4 (XML)

Posted on January 27, 2021 by CAPIS

Reg NMS 606 Report - 2020 Q4

Posted on January 27, 2021 by CAPIS

Reg NMS 606 Report - 2020 Q3

Posted on October 29, 2020 by CAPIS

Reg NMS 606 Report - 2020 Q3 (XML)

Posted on October 29, 2020 by CAPIS

Reg NMS 606 Report - 2020 Q1 (XML)

Posted on August 5, 2020 by CAPIS

Reg NMS 606 Report - 2020 Q2 (XML)

Posted on August 5, 2020 by CAPIS

Reg NMS 606 Report - 2020 Q2

Posted on August 5, 2020 by CAPIS

Reg NMS 606 Report - 2020 Q1

Posted on May 19, 2020 by CAPIS

OCC Options Risks Disclosure October 2018 Supplement

Posted on April 8, 2019 by CAPIS

OCC Options Risks Disclosure

Posted on December 13, 2017 by CAPIS

28(e) Research and Brokerage Eligibility

Posted on February 5, 2015 by CAPIS

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