Compliance

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)
FINRA Rule 5270 Disclosures (pdf)
FINRA Rule 5320 Disclosures (pdf)

SEC Order Routing Information:
SEC Rule 605: September 2011 and prior. SEC Rule 605: October 2011 and after.

SEC Rule 606: 3rd Quarter2011 and prior.
SEC Rule 606: 4th Quarter 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.

Business Continuance Plan (pdf)

For compliance-related issues, our Compliance Department can be reached at:
Brean Capital, LLC 1345 Avenue of the Americas, New York, NY 10105 Phone: 212-702-6500