Brean Capital's Compliance Department advises and assists our business units in assuring compliance with the rules and regulations that govern our industry. Our Compliance Officers keeps abreast of changes in regulations and distributes our policies and procedures throughout the firm.
For more information, please see our
Legal Disclaimer (pdf)
Privacy Statement (pdf)
New Account Policy (pdf)
Extended Hours Trading Risk Disclosure (pdf)
SEC Order Routing Information:
SEC Rule 605: September 2011 and prior.
SEC Rule 605: October 2011 and after.
Effective August 5, 2004, NYSE Rule 446 requires members and member organizations to establish and maintain a Business Continuance Plan relating to an emergency or significant business disruption. The firm's business continuity strategy is designed to enable Brean Capital to meet its existing obligations and to restore the firm’s operations in the most efficient and timely manner.
For compliance-related issues, our Compliance Department can be reached at:
Brean Capital, LLC
570 Lexington Avenue
New York, NY 10022-6895