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.

Transition Management Benchmarking

Posted on October 24, 2022

CAPIS Domestic Algos

Posted on October 7, 2022

Reg NMS 606 Report – 2020 Q3

Posted on October 6, 2022

Reg NMS 606 Report – 2020 Q4

Posted on October 6, 2022

Reg NMS 606 Report – 2021 Q1

Posted on October 6, 2022

Reg NMS 606 Report – 2021 Q2

Posted on October 6, 2022

Reg NMS 606 Report – 2021 Q3

Posted on October 6, 2022

Reg NMS 606 Report – 2021 Q4

Posted on October 6, 2022

CAPIS 2022 Policy Statement

Posted on October 6, 2022

Reg NMS 606 Report – 2022 Q1

Posted on October 6, 2022

Reg NMS 606 Report – 2022 Q2

Posted on October 6, 2022

CAPIS Futures Overview

Posted on October 4, 2022

CAPIS Derivatives Overview

Posted on October 4, 2022

CAPIS Trader Biographies

Posted on October 4, 2022