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:

• Legal Disclaimer
• Privacy Statement
• Customer Account Policy
• Extended Hours Trading Risk Disclosure
• FINRA Rule 5270 Disclosures
• FINRA Rule 5320 Disclosures

SEC Order Routing Information:

• SEC Rule 605: September 2011 and prior.
• SEC Rule 605: October 2011 and after.
• SEC Rule 606: 3rd Quarter 2011 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 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