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 2024 Policy Statement

Posted on April 3, 2024

CBOE ODD March 2023

Posted on April 2, 2024

Reg NMS 606 Report – 2023 Q4 (XML)

Posted on January 31, 2024

Reg NMS 606 Report – 2023 Q4

Posted on January 31, 2024

CAPIS Fixed Income

Posted on January 11, 2024

CAPIS Fixed Income Trading Solutions

Posted on January 11, 2024

CAPIS Derivatives Trading

Posted on January 11, 2024

CAPIS Portfolio Trading

Posted on January 11, 2024

CAPIS ARC

Posted on January 10, 2024

CAPIS Transition Management

Posted on January 10, 2024

CAPIS Bank and Trust

Posted on January 10, 2024

CAPIS Outsourced Trading Deck

Posted on January 10, 2024

CAPIS Outsourced Trading

Posted on January 10, 2024

CAPIS Commission Recapture

Posted on January 10, 2024

CAPIS CEF Liquidity

Posted on January 10, 2024