COMPLIANCE Home / 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 keep abreast of changes in regulations and distribute our policies and procedures throughout the firm.

For more information, please see our: SEC Order Routing Information: Effective August 5, 2004, NYSE Rule 446 requires members and member organizations to establish and maintain a Business Continuity 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 Continuity Plan