• About
    • Our Company
    • Our Clients
    • Our People
    • Careers
  • Trading
    • US Equity
    • International Equity
    • Fixed Income
    • Program Trading
    • Options / Futures / FX
    • CEF Liquidity
  • Services
    • Commission Management Solutions
    • Outsourced/Supplemental Trading
    • Bank & Trust Services
    • Transition Management
    • WRAP/Custodial Solutions
    • Commission Recapture
  • Research
    • The Morning Note
    • CAPIS Insights
    • Daily Holdings Summary
    • Monthly Research Briefing
    • Quarterly Webinars/Fireside Chats
    • Blogs and Podcasts
    • Press Releases
  • Contact
  • Concourse
  • Bondpoint

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)

Connect with us

© 2023 Capital Institutional Services, Inc.

  • Our Company
  • Our People
  • Our Clients
  • Careers
  • Trading
  • Services
  • Research
  • Contact
  • Compliance Documents
  • Clearing / Settlement Instructions
  • Concourse / CAPIS Mobile
  • Bondpoint
  • Privacy Policy
  • Terms of Use
  • Contingency Site