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 2024 Policy Statement

CAPIS ODD 2024

CAPIS Statement of Financial Condition 2023

Reg NMS 606 Report – 2024 Q3

Reg NMS 606 Report – 2024 Q3 (XML)

Reg NMS 606 Report – 2024 Q2

Reg NMS 606 Report – 2024 Q2 (XML)

Reg NMS 606 Report – 2024 Q1

Reg NMS 606 Report – 2024 Q1 (XML)

Reg NMS 606 Report – 2023 Q4

Reg NMS 606 Report – 2023 Q4 (XML)

Reg NMS 606 Report – 2023 Q3

Reg NMS 606 Report – 2023 Q3 (XML)

Reg NMS 606 Report – 2023 Q2

Reg NMS 606 Report – 2023 Q2 (XML)

Reg NMS 606 Report – 2023 Q1

Reg NMS 606 Report – 2023 Q1 (XML)

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)