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.

CAPIS 2021 Statement of Financial Condition
CAPIS 2022 Policy Statement
Reg NMS 606 Report – 2022 Q4
Reg NMS 606 Report – 2022 Q4 (XML)
Reg NMS 606 Report – 2022 Q3
Reg NMS 606 Report – 2022 Q3 (XML)
Reg NMS 606 Report – 2022 Q2
Reg NMS 606 Report – 2022 Q2 (XML)
Reg NMS 606 Report – 2022 Q1
Reg NMS 606 Report – 2022 Q1 (XML)
Reg NMS 606 Report – 2021 Q4
Reg NMS 606 Report – 2021 Q4 (XML)
Reg NMS 606 Report – 2021 Q3
Reg NMS 606 Report – 2021 Q3 (XML)
Reg NMS 606 Report – 2021 Q2
Reg NMS 606 Report – 2021 Q2 (XML)
Reg NMS 606 Report – 2021 Q1
Reg NMS 606 Report – 2021 Q1 (XML)
Reg NMS 606 Report – 2020 Q4
Reg NMS 606 Report – 2020 Q4 (XML)
Reg NMS 606 Report – 2020 Q3
Reg NMS 606 Report – 2020 Q3 (XML)