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 - 2018 Q3

Posted on October 16, 2018 by CAPIS

OCC Options Risks Disclosure

Posted on December 13, 2017 by CAPIS

CAPIS Policy Statement

Posted on April 3, 2017 by CAPIS

28(e) Research and Brokerage Eligibility

Posted on February 5, 2015 by CAPIS

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