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 - 2022 Q1

Posted on May 5, 2022 by CAPIS

Reg NMS 606 Report - 2022 Q1 (XML)

Posted on May 5, 2022 by CAPIS

CAPIS 2022 Policy Statement

Posted on March 29, 2022 by CAPIS

CAPIS 2021 Statement of Financial Condition

Posted on March 23, 2022 by CAPIS

Reg NMS 606 Report - 2021 Q4

Posted on January 21, 2022 by CAPIS

Reg NMS 606 Report - 2021 Q4 (XML)

Posted on January 21, 2022 by CAPIS

Reg NMS 606 Report - 2021 Q3 (XML)

Posted on October 28, 2021 by CAPIS

Reg NMS 606 Report - 2021 Q3

Posted on October 28, 2021 by CAPIS

Reg NMS 606 Report - 2021 Q2 (XML)

Posted on July 28, 2021 by CAPIS

Reg NMS 606 Report - 2021 Q2

Posted on July 28, 2021 by CAPIS

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

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