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Privacy Policy

Muriel Siebert & Co., Inc. (“Siebert”) puts peace of mind first. We recognize the importance of protecting your personal information and take the responsibility of handling both your trust and personal information extremely seriously. As a regulated financial institution and a member of the Financial Regulatory Industry Authority (“FINRA”) and the New York Stock Exchange (“NYSE”), Siebert is required to obtain certain personal information from our customers. The following Privacy Policy demonstrates our commitment to the privacy of your personal information.

Siebert collects, uses, and retains your personal information to assist in properly administering our business and servicing your account, and to continuously improve our services to you. Siebert collects nonpublic personal information about you from the sources described below. We may use this information to open an account, communicate with you about your account and Siebert products and services, send you information that we believe would be of interest to you, and offer you subscription services.

  • Information gathered from your applications, other forms or requests for more information;
  • Information from your transactions with us, our affiliates or others;
  • Information from consumer reporting agencies to verify your identity or determine your creditworthiness
  • Information from other sources with your consent, such as from other institutions if you transfer positions into Siebert and from information we receive from you for subscription or sweepstake registrations or when you choose to participate in a Siebert promotion.

If you prefer not to receive Siebert product and service updates or information that we believe would be of interest to you, please contact a Siebert Customer Service Representative at 800-872-0444, 8:00 a.m. - 6:00 p.m. ET, Monday-Friday.

We do not sell customer information, whether you are a current Siebert customer or a former customer, to anyone, for any reason, at any time. Except as described below, we do not currently share your nonpublic personal information with any non-affiliated third parties. If we were to do so, the law requires Siebert to provide you with a reasonable opportunity to “opt out”, that is, to direct us not to share your nonpublic personal information with non-affiliated third parties in certain circumstances. If, in the future, we were to seek to disclose your information in a way that is inconsistent with this policy, we will notify you in advance and provide you with a reasonable opportunity to opt out of our sharing your information in this manner.

We may disclose nonpublic personal information from customers and former customers on a strictly limited, confidential basis to non-affiliated third-parties that perform account maintenance and processing services for us. These include, for example, our clearing firm, bank custodians, and fulfillment companies. We may also disclose nonpublic personal information from customers and former customers to non-affiliated third-parties as permitted or required by law or as authorized by you. These parties include government, regulatory an d self-regulatory organizations, including but not limited to, the Securities and Exchange Commission (“SEC”), the Internal Revenue Service (“IRS”), the NYSE, and FINRA, and to parties under court order or subpoena that request this information. Siebert may report information about your account(s) to credit bureaus and/or consumer reporting agencies. You should be aware that late payments, missed payments, and/or other defaults in connection with your account(s) may be reportable by the firm, and may be reflected in your credit or consumer reports.

Siebert restricts access to your personal and account information to those employees who need to know that information to manage your account(s) and to provide products or services to you. We maintain physical, electronic, and procedural safeguards designed to protect your nonpublic personal information from any unauthorized disclosure.

Online Privacy

The importance of protecting your personal information online is critical in today’s digital environment.

Therefore, along with all of the security measures described above, we employ the following online security measures.

We protect your personal information by incorporating powerful, state-of-the-art security measures and all of your personal information is collected and stored on a secure area of our website. Access to all secure areas of our website is protected by a unique User ID and Personal Identification Number.

When you visit our website, a “cookie” is transmitted to your computer. A “cookie” is simply an electronically-transmitted file that holds small pieces of information, which personalizes and enhances the performance of your experience at Siebert by enabling us to determine which areas of our website are more popular than others and which of our advertisements on other sites have been visited. It is important for you to know that your privacy is never compromised when you accept a “cookie” from our website. You can set your browser to notify you when you receive a “cookie”, allowing you to decide whether to accept it.

Please contact a Siebert Customer Service Representative if you have any questions regarding the privacy of your personal information.

Online & Research Disclosures

You may use this website only for your personal use. You may not publish, retransmit, redistribute or otherwise reproduce the website, including but not limited to the underlying data, in any form, to anyone, whether or not you accept compensation for doing so. You may save data and charts to your hard drive or other storage media, and you may print data and charts out onto paper, and manipulate them in any way you like, provided that you do so for your own use, and do not distribute the charts or data to others. 

Siebert reserves the right to change the terms, conditions, and notices under which this website and its content are made available.

Siebert makes reasonable efforts to ensure that the information made available through the offerings is accurate and up-to-date. Mistakes and accidents do happen, though, so before trading, you should confirm the accuracy and timeliness of information you receive against that provided by another source. 

As a condition of using our website, you agree that Siebert  will not be liable for any damages whatsoever (including but not limited to lost profits, trading losses and damages) that result from inconvenience, delay or loss of the use of data, or inaccuracy of the information provided through this website, even if Siebert has been advised of the possibility of such damages, and regardless whether the claim for such damages is based in contract, tort, indemnity, or some combination or otherwise. 

Siebert makes no express or implied warranties (including, without limitation, any warranty of merchantability or fitness for a particular purpose or use) regarding information provided through or comprising any Siebert Offering. All content, including but not limited to the data, are provided to you "as is." Although they are obtained from sources believed to be reliable, they are not guaranteed.

This User Agreement will be governed and construed in accordance with the laws of the United States, without regard to its conflicts of laws provisions or those of any other jurisdiction, and by using content on this website, or any sites linked or connected to this site, you agree that any litigation or other dispute arising out of or relating to this User Agreement or content on this website shall be brought exclusively in the courts located in Santa Clara County, California, and that you consent to the personal jurisdiction of, and venue in, such courts. In the event of any dispute arising out of the subject matter of, or to enforce, this User Agreement, the prevailing party shall recover, in addition to any other damages assessed, its reasonable expenses, including attorneys' fees and costs, incurred in resolving such dispute. 

Research: 

Muriel Siebert & Co., Inc. (Siebert) pays various outside sources for research material regarding investments and securities. Siebert makes the research material available to its clients without charge for their convenience. Any recommendation, opinion or advice regarding securities or markets contained in such material does not necessarily reflect the views of Siebert does not verify any information included in such material and expressly disclaims any responsibility for any decisions or for the suitability of any security or transaction based on it.

Specifically, any decisions you may make to buy, sell or hold a security based on such research will be entirely your own and not in any way deemed to be endorsed or influenced by or attributed to us. It is understood that, without exception, any order based on such research that is placed with Siebert for execution is, and will be treated as, an unrecommended and unsolicited order. Further, Siebert Financial Services, assumes no responsibility for the accuracy, completeness, timeliness or updating of any such research, which is subject to change without notice at any time. Siebert does not provide tax or legal advice. Under no circumstances is the information contained within such third-party research to be used or considered as an offer to sell or a solicitation of an offer to buy a particular investment/security. 

Social Media Guidelines & Disclosures:

We hope from our social media pages you can learn more about Muriel Siebert & Co.'s and the products and services we offer and engage with a community of investors and traders with similar interests and different perspectives.

Feel free to comment or share an opinion, just keep in mind that we are part of a highly regulated industry with rules pertaining to comments and dialogues on social media forums. Please don’t take offense if we do not respond or have to remove comments or fans for a variety of reasons, including but not limited to:

  • Profanity
  • Offensive, abusive, defamatory, offensive or unlawful posts
  • Discussions about investment advice or products, specific investments or securities, or trading strategies
  • Instructions for any account-related transactions
  • Personal, transaction, or account information disclosure
  • Stay on Topic: We want our site to be as informative and helpful as possible so please stay on topic and keep your post topics within the purposes of our page.

We do not provide advice: Content posted on this site should not be considered a recommendation or investment advice.


Carefully consider the investment objectives, risks, charges and expenses of any investment company before investing. A prospectus, obtained by calling 800-872-0444, contains this and other important information. Read carefully before investing.

Siebert and its management do not endorse or adopt any opinions, views, or statements posted by third parties on this page. Any opinions, views, or experiences posted by third parties are their own, and may not be representative or indicative of others' opinions, views, and experiences. If you have a business affiliation with Siebert or any other beneficial motives for commenting on the site you may have an obligation to disclose that relationship within the post.

We hope you enjoy your experience here. Although we do not provide account transactions services through our Social Media pages, you can visit us at www.siebert.com or call us at 800-872-0444. 

Disclaimer:


Muriel Siebert & Co., Inc.  is not affiliated with Facebook, LinkedIn, or Twitter and has no control over how these sites, or other third-parties use the information you post on our page.

Siebert does not control, adopt, or endorse any information, advertisements, or content that Facebook, LinkedIn or Twitter publishes on its site or on the Siebert page. You should be familiar with each social media site's privacy and security policies, and understand how the information that you post may be viewed and used.

All screen shots are for illustrative purposes only, and not a recommendation of any specific security or strategy.

Waiver of NASDAQ Level II and Streaming News subscription fees applies to non-professional clients only. Access to real-time market data is conditioned on acceptance of exchange agreements. Professional access differs and subscription fees may apply. For details, see our Professional Rates and Fees listing.

Investing involves risk and the value of your investment may fluctuate. Over time you may gain or lose money. Past performance is no guarantee of future success.

Muriel Siebert & Co., Inc., member NYSE, FINRA & SIPC.

© 2020 Muriel Siebert & Co., Inc.   |  All rights reserved. |  Used with permission.

Product Specific Disclosures

Corporate Bonds

Corporate bonds are debt obligations issued by corporations to raise capital. The corporation promises to repay the loan at a specified future date and makes scheduled interest payments to the investor at a specified rate. Because bonds are senior to stock, interest and principal are paid to bondholders before dividends are paid to stockholders.  

Active secondary markets exist for most, but not all, bonds.  Many factors may affect performance and liquidity of bonds, and you may receive more or less than your original investment if you decide to sell.  Of course, if you hold your corporate bond until maturity, the issuer promises to pay back the full face value.

Virtually all investments have some degree of risk. The return on most investments is linked to the risk of that investment.  Investments with more risk generally offer the potential for higher returns. Conversely, relatively safe instruments such as insured CDs and U.S. Treasuries offer relatively lower returns.

Some risks common to most all bonds include:  

Credit Risk – financial risk that the issuer will not be able to repay the principal upon maturity as promised.  Call Risk – longer-term bonds are usually callable.  The bonds may be called before the maturity date if interest rates decrease, and an investor may not be able to reinvest the funds for an equal or greater return.  

Market Risk – if the bond must be sold before the maturity date, the bond may be worth more or less than the face value.  

Inflation Risk – recognizes the value of assets or of income will be eroded as inflation shrinks the value of a country’s currency. 

Liquidity Risk – some securities may be difficult to sell in the absence of an active secondary market. 

Interest Rate Risk – as interest rates rise, generally bond prices will fall.
The information provided herein is obtained from sources deemed reliable; however, we cannot guarantee its accuracy, completeness or suitability for any purpose and make no warranties with regard to the results to be obtained from its use.  Under no circumstances should the information provided herein be construed as an offer to sell or a solicitation of an offer to buy a particular security.  Prices, yields and availability are subject to change.  Many factors exist which could impact yield.  Please call for more information.

Municipal Bonds

Municipal bonds are debt obligations issued by states, cities, counties and other governmental entities to raise money to build schools, highways, hospitals and sewer systems, as well as many other projects for the public good.  When you purchase a municipal bond, you are lending money to an issuer who promises to pay you a specified amount of interest (usually paid semiannually) and return the principal to you on a specific maturity date.  *Under present federal income tax law, the interest income you receive from investing in municipal bonds is free from federal income taxes.  In most states, interest income received from securities issued by governmental units within the state is also exempt from state and local taxes.  In addition, interest income from securities issued by U.S. territories and possessions is exempt from federal, state and local income taxes in all 50 states.  If you are subject to the alternative minimum tax (AMT), you must include interest income from certain municipal securities in calculating the tax.  

When you invest in any bond, your primary concern should be the issuer’s ability to meet its financial obligations.  Bond ratings are important benchmarks because they reflect a professional assessment of the issuer’s ability to repay the bond’s face value at maturity.  Generally, bonds rated BBB or Baa, or better, by Standard & Poor’s and Fitch, or Moody’s, respectively, are considered “Investment Grade,” suitable for preservation of investment capital.  In general, as with any fixed-income investment, the higher the yield, the higher the risk.  If you sell your municipal bonds prior to maturity, you will receive the current market price, which may be more or less than their original price.  Many bond issues allow the issuer to call- or retire- all or a portion of the bonds at a premium, or at par, before maturity.  Special rules apply to a tax-exempt bond purchased at a premium or a discount and called or sold before maturity. (Since tax laws frequently change, consult with your tax lawyer or accountant for up-to-date advice).  

More information about municipal offerings is available in the issuer’s official statement and should be read carefully before investing.  Contact your investment specialist at the telephone number to receive an official statement.

Reverse Convertible Securities

A Reverse Convertible Note is a short-term coupon-bearing note providing enhanced yield relative to the common stock, while participating in certain equity-like risks.

In addition to offering current income, Reverse Convertible Notes offer limited downside protection. This feature allows for the underlying stock price to decrease by up to a predetermined percentage while still providing a return of principal at maturity.

In effect, the investor in the reverse convertible is selling the issuer a put option on the reference asset in exchange for an above-market coupon during the life of the note. Generally speaking, the higher the coupon rate, the higher the expected volatility of the reference asset, which in turn means greater likelihood that the knock-in price will be breached and the investor will receive less than a full return of principal at maturity.

Reverse convertibles can have complex pay-out structures involving multiple variables that can make it difficult for registered representatives and their customers to accurately assess their risks, costs and potential benefits.

Upside Auto Callable Single Observation Reverse Exchangeable Notes

Annual Percentage Yield (APY): Interest is quoted at an annualized rate, you may receive less than the stated annual rate depending on the amount of time until maturity. At maturity, holders receive either 100% of the original investment or a predetermined number of shares of the underlying stock.  If you receive shares, their value will be substantially less than the amount originally invested. Earning potential is limited to rate of interest.  Interest is guaranteed by the A+ rated issuer, principal is not.  These notes carry the risk of the underlying stock.  Either the performance of the underlying equity or the creditworthiness of the issuer may affect the value of the investment. May not be suitable for all investors.  This is not an offer to buy or sell securities. Is not listed on any securities exchange.  The price of the reference stock is subject to market volatility. and your protection may terminate on observation date. Please request and read a prospectus prior to investing.  Consult your financial representative and tax consultant for tax considerations.

Downside protection is the percentage amount that leads to the price below which the stock is not allowed to drop. If the stock price is above the single observed price on the single observation date, your principal is returned on maturity. If the underlying stock price is below the stated downside protection on single observation date, you receive shares of the underlying stock in lieu of principle, with a value less than your original investment. This instrument is designed to pay you interest each month until the note is called or comes due on the stated date.

Certificates of Deposit (CDs)

Certificates of Deposit (“CDs”) issued by banks, savings associations and other depository institutions whose deposits are insured by the Federal Deposit Insurance Corporation (“FDIC”).Brokered CDs are obligations of the bank, not the broker.  Brokered CDs generally have the features of CDs available directly from banks and are eligible for the same deposit insurance as CDs purchased directly from banks.  Unlike banks, securities brokers are required to provide you with an estimated market value of your CD on your periodic account statement.  This is an estimate of the amount you might receive if you were able to sell your CD prior to its maturity.  You may not be able to sell your CD for the amount listed on the statement.  Also, the amount on the statement does not affect your deposit insurance, which is based on the outstanding principal amount of your CD, not the estimated market value.  Though not obligated to do so, some securities brokers may be willing to purchase, or arrange for the purchase of, your CD prior to maturity.  The broker may refer to this activity as a secondary market.  This is not early withdrawal.  The price you receive for your CD will reflect a number of factors, including then-prevailing interest rates, the time remaining until the CD matures, the features of the CD and compensation to the broker for arranging the sale of the CD.  Depending on market conditions, you may receive more or less than you paid for your CD.  The broker is free to discontinue offering you this service at any time.  Banks generally permit early withdrawal of brokered CDs without penalty upon the death or adjudication of incompetence of the depositor.  Some CDs allow the bank to redeem or “call” the CD at its sole discretion.  These CDs are termed “callable CDs.”  On predetermined dates, the bank can choose to give you your money back, (including accrued interest) and cancel the CD.  A call provision does not give you the right to redeem the CD.  Call features are typically incorporated in CDs with longer terms and the call feature may be combined with other features, such as a step rate.  Interest rate is quoted on an annualized rate.

Mutual Funds (Managed Investment Companies)

Mutual Funds offer a wide array of valuable investment opportunities.  When considering investing in mutual funds, it is important to carefully consider the investment objectives, risks, and expenses of any fund before investing.  The prospectus contains this and other important information and should be read fully before investing.

You may obtain a prospectus directly from the fund, or by contacting us at 800-872-0444. 


Among other considerations, understanding sales charges and breakpoint discounts will assist you in identifying the best investment for your particular needs and may help you reduce the costs of your investment. 

Sales Charges: When you purchase mutual funds, you must make choices, including which funds to purchase and which class share is most advantageous. Each mutual fund has a specified investment strategy. You need to evaluate whether a fund’s investment strategy is compatible with your investment objectives. Also, most mutual funds offer different share classes. Each share class represents a similar interest in the mutual fund’s portfolio, but the mutual fund will charge you different fees and expenses depending on your choice of share class. Generally, Class A shares carry a “front-end” sales charge or “load” that is deducted from your investment at the time you buy. This sales charge is a percentage of your total purchase. Many mutual funds offer volume discounts to the front-end sales charge assessed on Class A shares at predetermined levels of investment, called “breakpoint discounts.” In contrast, Class B and C shares usually do not carry any front-end sales charges, but investors who purchase Class B or C shares pay asset-based sales charges, which may be higher than the charges associated with Class A shares. Investors who purchase Class B and C shares may also be required to pay a sales charge known as a “contingent deferred sales charge” when they sell their shares, depending upon the rules of the particular mutual fund. 

Breakpoint Discounts: Most mutual funds offer investors a variety of ways to qualify for breakpoint discounts on the sales charge associated with the purchase of Class A shares, commonly to investors who make large purchases at one time. The extent of the discount depends upon the size of the purchase. Generally, as the amount of the purchase increases, the percentage used to determine the sales load decreases. The entire sales charge may be waived for investors making very large purchases of Class A shares. Mutual fund prospectuses contain tables that illustrate the available breakpoint discounts and the investment levels at which breakpoint discounts apply. Also, most mutual funds allow investors to qualify for breakpoint discounts based upon current holdings from prior purchases through “Rights of Accumulation,” and future purchases, based upon “Letters of Intent.” Mutual funds each have different rules regarding the availability of Rights of Accumulation and Letters of Intent.

Talk with us and review the mutual fund prospectus to determine the specific terms on which a mutual fund offers Rights of Accumulation or Letters of Intent


1. Rights of Accumulation Many mutual funds allow you to count the value of previous purchases of the same fund, or another fund within the same fund family, along with the value of your current purchase, to qualify for breakpoint discounts. Mutual funds allow you to count existing holdings in multiple accounts, such as IRAs or accounts at other broker-dealers, to qualify for breakpoint discounts. If you have accounts at other broker-dealers and wish to take advantage of the balances in these accounts to qualify for a breakpoint discount, you must advise your Siebert representative about those positions. You may need to provide documentation establishing the holdings in those other accounts if you wish to rely upon balances in accounts at another firm. Further, many mutual funds allow you to count the value of holdings in accounts of certain related parties, such as your spouse or children, to qualify for breakpoint discounts. Each mutual fund has different rules that govern which relationships allow you to qualify for breakpoint discounts. You’ll wish to discuss this with your Siebert representative or review the mutual fund’s prospectus and statement of additional information to determine what these rules are for the fund family in which you are investing. If you wish to rely upon the holdings of related parties to qualify for a breakpoint discount, be sure to tell your representative about these accounts. Mutual funds also follow different rules to determine the value of existing holdings. 

Most funds use the current net asset value (NAV) of existing investments in determining whether you qualify for a breakpoint discount. A small number of funds use the historical cost, which is the cost of the initial purchase, to determine eligibility for breakpoint discounts. If the mutual fund uses historical costs, you may need to provide account records, such as confirmations or statements, to qualify for a breakpoint discount based upon previous purchases.

Talk with your representative and review the fund’s prospectus to determine whether the mutual fund uses NAV or historical costs to determine breakpoint eligibility. 


2. Letters of Intent –  Most mutual funds allow you to qualify for breakpoint discounts by signing a Letter of Intent, which commits you to purchasing a specified amount of Class A shares within a defined period of time, usually 13 months. For example, when you plan to purchase a total of $50,000 worth of Class A shares over a period of 13 months, but each individual purchase would not qualify for a breakpoint discount, you could sign an LOI at the time of the first purchase and receive the breakpoint discount associated with $50,000 investments on your first and all subsequent purchases. Some funds offer retroactive Letters of Intent that allow you to rely upon purchases in the recent past to qualify for a breakpoint discount. If an investor fails to invest the amount required by the Letter of Intent, the fund is entitled to retroactively deduct the correct sales charges based upon the amount that the investor actually invested. If you intend to make several purchases within a 13 month period, you should consult your StockCross representative and the mutual fund prospectus to determine if it would be beneficial for you to sign a Letter of Intent. 

As you can see, understanding the availability of breakpoint discounts is important because it may allow you to purchase Class A shares at a lower cost. The availability of breakpoint discounts may save you money and may also affect your decision regarding the appropriate share class in which to invest.

Discuss the availability of breakpoint discounts with your Siebert representative, along with your other considerations in selecting a fund. 


To learn more about mutual fund share classes or mutual fund breakpoints, you may wish to review the investor alerts available on the FINRA Web site. See Understanding Mutual Fund Classes  here and Mutual Fund Breakpoints: A Break Worth Taking here. Visit the many mutual fund Web sites available to the public.

Margin Disclosure

Important Information about Using Margin


This document is being furnished to you to provide some basic information about purchasing securities on margin and to alert you to the risks involved with trading securities in a margin account. Before trading securities in a margin account, you should carefully review the margin terms in your account application and agreement. Please contact your broker dealer, Muriel Siebert & Co., Inc., regarding any questions or concerns you may have with your margin account. When you purchase securities, you may pay for the securities in full or you may borrow all or part of the purchase price from your brokerage firm, Muriel Siebert & Co., Inc. If you choose to borrow funds from your brokerage firm, Muriel Siebert & Co., Inc., you will open a margin account with National Financial Services LLC ("NFS"). The securities in your account are NFS' collateral for the loan to you. If the securities in your account decline in value, so does the value of the collateral supporting your loan, and, as a result, NFS and your broker dealer, Muriel Siebert & Co., Inc., can take action, such as issue a margin call and/or sell securities or other assets in any of your account(s) held with NFS through your broker dealer, Muriel Siebert & Co., Inc., in order to maintain the required equity in the account.

NFS may also take action to sell securities or other assets in your account(s) held with NFS and with certain NFS affiliates.It is important that you fully understand the risks involved in trading securities on margin.

These risks include the following:
You can lose more funds than you deposit in the margin account. A decline in the value of securities you purchased on margin may require you to provide additional funds or margin-eligible securities to NFS to avoid the forced sale of any securities or assets in your account(s).

NFS and your broker dealer, Muriel Siebert & Co., Inc., can force the sale of securities or other assets in your account(s). If the equity in your account falls below the maintenance margin requirements or NFS' higher "house" requirements, NFS or your broker dealer, Muriel Siebert & Co., Inc., can sell the securities or other assets in any of your account(s) held at NFS through your broker dealer, Muriel Siebert & Co., Inc., to cover the margin deficiency. NFS may also take action to sell securities or other assets in your account(s) held with NFS and certain NFS affiliates.

You also will be responsible for any short fall in the account after such a sale, possibly including NFS' and/or your broker dealer's, Muriel Siebert & Co., Inc.’s, costs related to collecting the short fall. NFS and your broker dealer, Muriel Siebert & Co., Inc., can sell your securities or other assets without contacting you. Some investors mistakenly believe that a firm must contact them for a margin call to be valid, and that the firm cannot liquidate securities or other assets in their account(s) to meet the call unless the firm has contacted them first. This is not the case. Most firms will attempt to notify their customers of margin calls, but they are not required to do so. In addition, even if a firm has contacted a customer and provided a specific date by which the customer can meet a margin call, the firm can still take necessary steps to protect its financial interests prior to that date, including immediately selling the securities without notice to the customer.

You are not entitled to choose which securities or other assets in your account(s) are liquidated or sold to meet a margin call. Because the securities and any other assets in your account(s) are collateral for the margin loan, NFS or your broker dealer, Muriel Siebert & Co., Inc., has the right to decide which assets to sell in order to protect its interests. NFS can increase its "house" maintenance margin requirements at any time and is not required to provide you advance notice. These changes in firm policy often take effect immediately and may result in the issuance of a maintenance margin call. Your failure to satisfy the call may cause NFS or your broker dealer, Muriel Siebert & Co., Inc., to liquidate or sell securities or any other assets in your account(s).

You are not entitled to an extension of time on a margin call. While an extension of time to meet margin requirements may be available to customers under certain conditions, a customer does not have a right to the extension. Short selling is a margin account transaction and entails the same risks as described above.

NFS or your broker dealer, Muriel Siebert & Co., Inc. can effect a buy-in of securities to cover a short position in your account without contacting you and may use all or any portion of the assets in your account to make such a purchase. If the assets in your account are not sufficient to cover the cost of such a purchase, you will be responsible for any shortfall, which may include NFS and/or your broker dealer's, Muriel Siebert & Co., Inc.’s, costs in collecting the shortfall. In addition to market volatility, the use of bank card, checkwriting and similar features in connection with your margin account may increase the risk of a margin call.

Margin credit is extended by National Financial Services LLC, Member NYSE, SIPC.

Options Disclosure

Prior to buying or selling an option, investors must read a copy of the Characteristics & Risks of Standardized Options, also known as the options disclosure document (ODD). It explains the characteristics and risks of exchange traded options.

Characteristics & Risks of Standardized Options:

Options Disclosure Document (ODD)
November 2012 ODD Definitive Supplement

Business Continuity Statement

Muriel Siebert & Co., Inc. (Siebert) has a clearing agreement with both National Financial Services LLC. (NFS) and Muriel Siebert & Co., Inc. Clearing.  NFS and Muriel Siebert & Co., Inc. Clearing provide trade execution, clearing and related services for your brokerage account. Each maintain a Business Continuity Plan (“BCP”). Siebert is dedicated to providing account access that is reliable and secure for our clients and our BCP outlines our delivery strategy.

The BCP includes steps for addressing disruptions to business operations due to natural disaster, power outages, regional telecommunications failures and other significant events. The BCP is designed to support business critical functions, including client order handling, availability to cash and securities and access account balances.

Examples of how Siebert's plan addresses disruptions of varying scope:

Disruption to any of our service centers will result in calls, orders and electronic communications being re-routed to alternative service centers located outside the affected region with separate power grid and transportation system.
Siebert, NFS and StockCross maintain multiple data centers and have designed a plan to address regional outages.
Siebert employees are a key part of our contingency and disaster recovery plans. Training and informing our employees is paramount to our success during recovery. While no BCP can eliminate all risk or delay resulting from an unexpected interruption in service, we continually assess and update our BCP to mitigate risk.

Any questions regarding the Siebert BCP may be directed in writing, to Muriel Siebert & Co., Inc.'s Compliance Department at 15 Exchange Place, Jersey City, NJ 07302.

Muriel Siebert & Co., Inc. locations and their respective contact number:
View All Locations

 

Customer Order Routing

SEC - Required Report of Customer Order Routing


Muriel Siebert & Co., Inc. has prepared this report pursuant to a U.S. Securities and Exchange Commission rule requiring all brokerage firms to make publicly available quarterly reports on their order routing practices. The report provides information on the routing of "non-directed orders" - any order that the customer has not specifically instructed to be routed to a particular venue for execution.

The report is divided by each month of the reporting quarter. Each month is divided into three sections by orders routed in S&P 500 stocks, Non-S&P 500 stocks, and Options Orders. Each section provides routing percentages and rebate information for non-directed market, marketable limit, non-marketable limit and other orders. A “marketable limit order” is any buy order with a limit price equal to or greater than the national best offer at the time of order receipt, or any sell order with a limit price equal to or less than the national best bid at the time of order receipt. A “non-marketable limit order” is any limit order other than a marketable limit order.

View the report here

Statement of Financial Condition

To view our Statement of Financial Condition, click on the link below:


» Statement of Financial Condition for Muriel Siebert & Co., Inc.
» Statement of Financial Condition for Weeden Prime Services, LLC
» Statement of Financial Condition for StockCross Financial Services


SiebertNXT Disclosures

Siebert AdvisorNXT, Inc. Privacy Policy 


Siebert AdvisorNXT, Inc. puts peace of mind first. We recognize the importance of protecting your personal information and take the responsibility of handling both your trust and personal information extremely seriously. As a regulated financial institution Siebert AdvisorNXT, Inc.is required to obtain certain personal information from our customers. The following Privacy Policy demonstrates our commitment to the privacy of your personal information.

Siebert AdvisorNXT, Inc. collects, uses, and retains your personal information to assist in properly administering our business and servicing your account, and to continuously improve our services to you.

Siebert AdvisorNXT, Inc. collects nonpublic personal information about you from the sources described below. We may use this information to open an account, communicate with you about your account and AdvisorNXT products and services, send you information that we believe would be of interest to you, and offer you subscription services.

  • Information gathered from your applications, other forms or requests for more information;
  • Information from your transactions with us, our affiliates or others;
  • Information from consumer reporting agencies to verify your identity or determine your creditworthiness; and
  • Information from other sources with your consent, such as from other institutions if you transfer positions to Muriel Siebert & Co., Inc. (“Siebert”) and from information we receive from you for subscription or sweepstake registrations.

    Siebert AdvisorNXT, Inc. is required to maintain accurate and complete information about your account. If your financial status, investment objectives, employment information or lifestyle (e.g. marriage, divorce, birth, adoption, death) has recently changed, please contact Customer Service at [email protected] with your account information.

If you prefer not to receive Siebert AdvisorNXT, Inc. product and service updates or information that we believe would be of interest to you, please contact Customer Service at (855) 299-1980, 8:00 a.m. - 6:00 p.m. ET, Monday-Friday.

We do not sell customer information, whether you are a current Siebert AdvisorNXT, Inc. customer, Siebert customer or a former customer, to anyone, for any reason, at any time. Except as described below, we do not currently share your nonpublic personal information with any nonaffiliated third parties. If we were to do so, the law requires Siebert AdvisorNXT, Inc. to provide you with a reasonable opportunity to “opt out”, that is, to direct us not to share your nonpublic personal information with nonaffiliated third parties in certain circumstances. If, in the future, we were to seek to disclose your information in a way that is inconsistent with this policy, we will notify you in advance and provide you with a reasonable opportunity to opt out of our sharing your information in this manner.

We may disclose nonpublic personal information from customers and former customers on a strictly limited, confidential basis to nonaffiliated third-parties that perform account maintenance and processing services for us. These include, for example, asset manager, our clearing firm, bank custodians, and fulfillment companies. We may also disclose nonpublic personal information from customers and former customers to nonaffiliated third-parties as permitted or required by law or as authorized by you. These parties include government, regulatory and self-regulatory organizations, including but not limited to, the Securities and Exchange Commission (“SEC”), the Internal Revenue Service (“IRS”), the NYSE, and FINRA, and to parties under court order or subpoena that request this information.

Siebert AdvisorNXT, Inc. may report information about your account(s) to credit bureaus and/or consumer reporting agencies. You should be aware that late payments, missed payments, and/or other defaults in connection with your account(s) may be reportable by the firm, and may be reflected in your credit or consumer reports.

Siebert AdvisorNXT, Inc. restricts access to your personal and account information to those employees who need to know that     information to manage your account(s) and to provide products or services to you. We maintain physical, electronic, and procedural safeguards designed to protect your nonpublic personal information from any unauthorized disclosure.

Form ADV PT 2 Brochure
Privacy Policy

Online Privacy and Cybersecurity


The importance of protecting your personal information online is critical in today’s digital environment. Therefore, along with all of the security measures described above, we employ the following online security measures. We protect your personal information by incorporating powerful, state-of-the-art security measures, encryption and firewalls and all of your personal information is collected and stored on a secure area of our website. Access to all secure areas of our website is protected by a unique User ID and Personal Identification Number. We instruct our employees to use the highest standards of care when handling your personal information with respect to your security and confidentiality. Generally speaking, Siebert AdvisorNXT, Inc. policy is not to discuss nor disclose information about your account except with an authorized person on your account or as required by law or pursuant to a regulatory request.

When you visit our website, a “cookie” is transmitted to your computer. A “cookie” is simply an electronically-transmitted file that holds small pieces of information, which personalizes and enhances the performance of your experience at Siebert AdvisorNXT, Inc. by enabling us to determine which areas of our website are more popular than others and which of our advertisements on other sites have been visited. It is important for you to know that your privacy is never compromised when you accept a “cookie” from our website. You can set your browser to notify you when you receive a “cookie”, allowing you to decide whether to accept it. Please contact Customer Service if you have any questions regarding the privacy of your personal information.


Siebert AdvisorNXT, Inc. reserves the right to make changes to this policy. February, 2019.
 

 

Siebert AdvisorNXT Online Disclosure Policy


Check the background of this firm on FINRA's BrokerCheck.  This web-site is for informational purposes only and does not constitute a complete description of our investment services or performance. This web-site is in no way a solicitation or offer to sell securities or investment advisory services except, where applicable, in states where we are registered or where an exemption or exclusion from such registration exists. Information throughout this site, whether stock quotes, charts, articles, or any other statement or statements regarding market or other financial information, is obtained from sources which we, and our suppliers believe reliable, but we do not warrant or guarantee the timeliness or accuracy of this information.

Nothing on this web-site should be interpreted to state or imply that past results are an indication of future performance. Neither we or our in- formation providers shall be liable for any errors or inaccuracies, regardless of cause, or the lack of timeliness of, or for any delay or interruption in the transmission thereof to the user. Similar investment management services are available elsewhere at lower cost.


THERE ARE NO WARRANTIES, EXPRESS OR IMPLIED, AS TO ACCURACY, COMPLETENESS, OR RESULTS OBTAINED FROM ANY INFORMATION POSTED ON THIS OR ANY 'LINKED' WEB-SITE.


Copyright Notice:
The contents of the AdvisorNXT sites on the Internet are protected by applicable copyright laws. No permission is granted to copy, distribute, modify, post or frame any text, graphics, video, audio, software code, or user interface de- sign or logos.


ALL INFORMATION AND CONTENT ON THE ADVISORNXT WEB-SITES ARE, SUBJECT TO APPLICABLE STATUTES AND REGULATIONS, FURNISHED "AS IS", WITHOUT WARRANTY OF ANY KIND, EXPRESS OR IMPLIED, INCLUDING BUT NOT LIMITED TO IMPLIED WARRANTIES OF MERCHANTABLILITY, FITNESS FOR A PARTICULAR PURPOSE, OR NON-INFRINGEMENT. THE THIRD PARTY MARKS APPEARING ON THIS SITE ARE THE PROPERTY OF THEIR RESPECTIVE OWNERS. ALL OTHER MARKS APPEARING ON THE SITE ARE THE PROPERTY OF SIEBERT ADVISORNXT OR AN AFFILIATED COMPANY.


Clients are reminded that any investment in securities involves a degree of risk, which could amount to the complete loss of principal. Market factors, investment style differences and investment management skills are just some of the factors that will determine how well your investment performs. Clients are advised to carefully investigate each and every investment opportunity, including inquiring of its own trusted advisors, and only invest once client is satisfied that the evaluation process has been satisfactory.


Copyright © 2020 Siebert AdvisorNXT.


Siebert AdvisorNXT Other Disclosures


You are being provided this information for the exclusive purpose of determining whether you wish to give consideration to a potential product or service offered by Siebert AdvisorNXT Inc. or its affiliates.

This site is for informational purposes only and does not constitute a complete description of our investment advisory services or performance. This site is in no way a solicitation or offer to sell investment advisory services or securities except, where applicable in states where Siebert AdvisorNXT Inc. are registered or where an exemption or exclusion from such registration exists.


The information on this site, whether charts, graphs, growth rates, allocations or any other statement regarding financial information is obtained from sources which we believe reliable, but we do not warrant or guarantee the timeliness or accuracy of this information.


Any historical, or assumed historical data used and shown in this brochure has no bearing on what the future actual returns might be for the strategies that are mentioned. The past performance exhibited in this brochure is no guarantee or indication of future performance. The returns depicted in any brochure are gross returns, excluding advisory fees and expenses and do not reflect the reinvestment of dividends or other income. Returns are provided by the underlying investment manager and may be subject to revision.  Neither, we or our information providers shall be liable for any errors or inaccuracies, regardless of cause, or the lack of timeliness of, or for any delay or interruption in the transmission thereof to the recipient of this brochure.

Similar investment management services may be available elsewhere at a lower cost. There are no warranties, expressed or implied, as to the accuracy, completeness, or results obtained from any information in this brochure.

Clients and potential clients are reminded that any investment in securities involves a degree of risk, which could always amount to the complete loss of principal. Market factors, investment style differences and investment management skills are some of the factors that will determine how well your investment performs. Clients and potential clients are strongly advised to carefully investigate their investment opportunity, including inquiring of its trusted advisor or advisors and then only invest once satisfied that the evaluation process has been satisfactory.

Clients and potential clients are encouraged to check the background of their advisor on FINRA’s BrokerCheck. Investment Advisor Investments/Products:

  • Are not insured by the FDIC or any other federal government agency
  • Are not deposits of or guaranteed by Siebert AdvisorNXT or its parent company or affiliates
  • May lose value    

For more information on Siebert AdvisorNXT Inc. and our advisory services, call us at 800-993-2010 to speak with a professional investment advisor. Learn how we can assist in the success of your financial future.

Insurance Disclosures

Siebert Financial Corporation provides a full range of brokerage and financial advisory services through its operating subsidiaries. Its wholly owned broker-dealer subsidiary, Muriel Siebert & Co., Inc. offers investment services and products, including Siebert brokerage accounts. Insurance and annuity investments are offered through Park Wilshire Companies, Inc., a wholly owned subsidiary of Siebert Financial Corporation. Managed accounts are offered through Siebert AdvisorNXT, Inc., a wholly owned subsidiary of Siebert Financial Corporation.

Before investing, consider the investment objectives, risks, charges and expenses of the annuity and its investment options. Annuities are not suitable for every investor. Request and read all offering materials including a prospectus or summary prospectus prior to investing to be sure it meets your investment objectives and risk tolerance. Annuities are long term investments and may lose value. To determine if an annuity is right for you, consult with a professional insurance agent and complete a suitability review. Annuity investments are not FDIC, SIPC or NCUSIF insured and are not insured by any other Federal Government Agency. Any guarantee is subject to the financial strength of the paying ability of the issuing insurance company. The earnings of annuities and any pretax payments are subject to taxes when withdrawn. Annuity payments or withdrawals before the age 59 ½ may be subject to federal tax penalty of 10 %. You should always consult with your individual tax or legal professional before taking any action that may have tax or legal consequences.

The information provided through this website is not intended to make a recommendation or solicitation that you purchase an annuity. Carefully read any proposed annuity contract and prospectus for charges and fees and be sure that all of your questions are answered by a professional licensed insurance agent before making any purchase. Not all annuity products are available in all states. Not licensed in all states.


Annuity investments are offered through Park Wilshire Companies, Inc., a wholly owned subsidiary of Siebert Financial Corporation. Siebert Financial Corporation is the parent company of Muriel Siebert & Co., Inc. Insurance and annuity products are offered through third party insurance companies, which are not affiliated with Park Wilshire Companies, Inc., Muriel Siebert & Co., Inc. or Siebert Financial Corporation.

For more information, call us at 800-410-6414 to speak with a professional licensed insurance agent.


2020 Park Wilshire Companies, Inc.

Corporate Services Disclosures

Siebert Corporate Services is a marketing name for the Corporate Services business of Muriel Siebert & Co., Inc. Muriel Siebert & Co., Inc. is a registered broker-dealer and is a member of NYSE, FINRA and SIPC.

© 2020 Siebert Financial Corporation.

WPS Prime Services, LLC Disclosures

Terms of Use


The information contained on this website is confidential and proprietary to WPS Prime Services, LLC (the “Company”) and is intended only for the personal use of the Company’s clients and other persons expressly authorized by the Company to receive such information. The information is made available for informational purposes only. You may not copy (except for personal use), distribute, publish, disclose to third parties, or make any other non-personal use of this website or any of the information contained on it without the prior written authorization of the Company. You agree that any copy of website information made by you shall retain all copyright and other proprietary notices contained therein or otherwise required by the Company.

Use of Links


This web site contains links to third party web sites. These links are provided only as a convenience. The inclusion of any link is not and does not imply an affiliation, sponsorship, endorsement, approval, investigation, verification, or monitoring by Siebert Prime of any information contained in any third party web site. In no event shall Siebert Prime be responsible for the information contained on that site or your use of or inability to use such site. You should also be aware that the terms and conditions of such site and the site’s privacy policy may be different from those applicable to your use of this web site.

Legal Disclaimer


WPS Prime Services, LLC reserves the right, in its sole discretion, without any obligation and without any notice requirement, to change, improve, or correct the information, materials, and descriptions on this web site and to suspend and/or deny access to this web site for scheduled or unscheduled maintenance, upgrades, improvements, or corrections. The information and materials on this web site may contain typographical errors or inaccuracies. Any dated information is published as of its date only, and Siebert Prime does not undertake any obligation or responsibility to update or amend any such information. Siebert Prime may discontinue or change any product or service described in or offered on this web site at any time. Siebert Prime attempts to ensure the accuracy of the information contained on this website at the time of publication. However, the Company does not warrant the accuracy of the information hereon or on any linked site.

THIS WEBSITE AND THE INFORMATION CONTAINED HEREON ARE PROVIDED “AS IS” AND WITHOUT WARRANTIES OF ANY KIND, EITHER EXPRESS OR IMPLIED, INCLUDING BUT NOT LIMITED TO ANY WARRANTIES OF TITLE, NON-INFRINGEMENT, MERCHANTABILITY OR FITNESS FOR A PARTICULAR PURPOSE.

WPS Prime Services, LLC will not be responsible for any loss or damage that could result from interception by third parties of any information or services made available to you via this web site. Although the information provided to you on this web site is obtained or compiled from sources we believe to be reliable, Siebert Prime cannot and does not guarantee the accuracy, validity, timeliness, or completeness of any information or data made available to you for any particular purpose. Neither Siebert Prime, nor any of its affiliates, directors, officers, or employees, nor any third party vendor, will be liable or have any responsibility of any kind for any loss or damage that you incur in the event of any failure or interruption of this web site, or resulting from the act or omission of any other party involved in making this web site, the data contained herein or the products or services offered on this web site available to you, or from any other cause relating to your access to, inability to access, or use of the web site or these materials, whether or not the circumstances giving rise to such cause may have been within the control of Siebert Prime or of any vendor providing software or services. In no event will Siebert Prime or any such parties be liable to you, whether in contract or tort, for any direct, special, indirect, consequential, or incidental damages or any other damages of any kind even if Siebert Prime or any other such party has been advised of the possibility thereof. This limitation on liability includes, but is not limited to, the transmission of any viruses, which may infect a user’s equipment, failure of mechanical or electronic equipment or communication lines, telephone, or other interconnect problems, unauthorized access, theft, operator errors, strikes or other labor problems, or any force majeure. WPS Prime Services, LLC cannot and does not guarantee continuous, uninterrupted, or secure access to the web site.

Privacy Statement


WPS Prime Services, LLC views protection of your confidential information as a very important issue to our firm. We have adopted the following policy regarding how the information you share with Siebert Prime is used and maintained. This privacy policy applies to institutions and individuals who are current and former clients of Siebert Prime. The primary reason we collect, use and share personal information is to serve you. Siebert Prime does not sell or share personal information with non Siebert Prime companies for the purpose of marketing their products or services to you.

Collection and Use of Personal Information:


WPS Prime Services, LLC and its related companies or affiliates, work together to offer you value added financial products and services. We collect only relevant client and consumer information that we are either allowed or required by law to obtain for conducting our business, such as:


  • Information about your transactions such as your account balances, payment history and check-writing activity is used to process these transactions that you request and evaluate your financial needs. When you use online products and services, we may collect data such as transaction, site navigation and optional survey information. We use this information to provide better services to our clients.

  • Information we receive from a consumer reporting agency, such as credit relationships and credit history is used to help us determine your eligibility for products, collect or report debts owed to us, and protect our rights and property. Sharing of Information within WPS Prime Services, LLC. All or a portion of the information collected through applications and forms or information relating to your transactions and experiences with us may be shared among Siebert Prime affiliates. We may also share certain types of information, such as credit information with your consent. Sharing of Information Outside Siebert Prime. As permitted by law, we may disclose some or all of the information described above with companies outside of WPS Prime Services, LLC to service your accounts, improve our services, provide products and services you have requested, and inform you about products or services of interest to you. Such companies may include:

  • Companies that provide financial services, other securities broker dealers, clearing firms, mutual funds and insurance companies.

  • As well as non-financial companies, such as companies that perform services on our behalf, companies that prepare account statements, or companies that assist us in marketing our services or communicating with you. Additionally, independent contractors or technical-system consultants who program our software, government agencies and regulators, consumer reporting agencies, and other outside parties as permitted or required by applicable laws.

  • Protecting the Confidentiality of Your Personal Information. All Siebert Prime employees are instructed to use strict standards of care regarding the confidentiality of your nonpublic personal information as outlined in WPS Prime Services, LLC policies. Employees not adhering to WPS Prime Services, LLC policies are subject to disciplinary action. We require outside companies and independent contractors to whom we provide client information for the purpose of marketing, servicing or processing to enter into confidentiality agreements that restrict the use of the information to those purposes. We maintain physical, electronic and procedural safeguards that comply with applicable laws to protect your nonpublic personal information.

Business Continuity


WPS Prime Services, LLC has developed a Business Continuity Plan on how we will respond to events that significantly disrupt our business. Since the timing and impact of disasters and disruptions is unpredictable, we will have to be flexible in responding to actual events as they occur. With that in mind, we are providing you with this information on our business continuity plan.

Contacting Us


If after a significant business disruption you cannot contact WPS Prime Services, LLC as you usually do at 800-993-2045, you should call our alternative number 646-227-5500. If you cannot access us through either of those means, you should contact our clearing firm, Goldman Sachs via the Goldman Sachs 360 portal website at https://360.gs.com for instructions on how it may provide prompt access to funds and securities, enter orders and process other trade-related, cash and security transfer transactions.

Our Business Continuity Plan


We plan to quickly recover and resume business operations after a significant business disruption and respond by safeguarding our employees and property, making a financial and operational assessment, protecting the firm’s books and records, and allowing our customers to transact business. In short, our business continuity plan is designed to permit our firm to resume operations as quickly as possible, given the scope and severity of the significant business disruption. Our business continuity plan addresses: data backup and recovery; all mission critical systems; financial and operational assessments; alternative communications with customers, employees, and regulators; alternate physical location of employees; critical supplier, contractor, bank and counter-party impact; regulatory reporting; and assuring our customers prompt access to their funds and securities if we are unable to continue our business. For more information – If you have questions about our business continuity planning, you can contact us at 800-993-2045

Anti-Money Laundering - Regulatory Disclosure


USA Patriot Act – Customer Identification Program Notice Important Information regarding procedures for opening a New Account: To assist the government in its fight against the funding of terrorism and money laundering activities, federal law requires financial institutions to obtain, verify, and record information that identifies each person who opens an account.

Types of Information You Will Need to Provide to WPS Prime Services, LLC:

Appropriate Identification numbers:
- U.S. Citizens: taxpayer identification number (Social Security number or employer identification number)

- Non-U.S. Citizens: taxpayer identification number, passport number, and country of issuance, alien identification card number, or government-issued identification showing nationality, residence, and a photograph of you.
- You may also need to show your driver’s license or other identifying documents.

- A corporation, partnership, trust or other legal entity may need to provide other information, such as its principal place of business, local office, employer identification number, certified articles of incorporation, government-issued business license, a partnership agreement, or a trust agreement.

U.S. Department of the Treasury, Securities and Exchange Commission, and FINRA rules already require you to provide most of this information.

These rules also may require you to provide additional information, such as your net worth, annual income, occupation, employment information, investment experience and objectives, and risk tolerance. If your identity cannot be verified, our firm may not be able to open an account or carry out transactions for you. If you and/or your firm have already opened an account, they may have to close it.

We thank you for your patience and hope that you will comply with our industry efforts.

SEC Rule 606 Reports


All public reports for WPS Prime Services, LLC:

Select a calendar quarter.

2019 Quarter 4 (Oct – Dec)
2019 Quarter 3 (July – Sept)
2019 Quarter 2 (Apr – Jun)
2019 Quarter 1 (Jan – Mar)
2018 Quarter 4 (Oct – Dec)
2018 Quarter 3 (July – Sept)
2018 Quarter 2 (Apr – Jun)
2018 Quarter 1 (Jan – March)
2017 Quarter 4 (Oct-Dec)
2017 Quarter 2 (Apr – Jun)
2017 Quarter 1 (Jan – March)
2016 Quarter 4 (Oct – Dec)
2016 Quarter 3 (July – Sept)
2016 Quarter 2 (Apr – Jun)
2016 Quarter 1 (Jan – Mar)
2015 Quarter 4 (Oct – Dec)
2015 Quarter 3 (July – Sept)
2015 Quarter 2 (Apr – Jun)
2015 Quarter 1 (Jan – Mar)
2014 Quarter 4 (Oct – Dec)
2014 Quarter 3 (Jul – Sep)
2014 Quarter 2 (Apr – Jun)
2014 Quarter 1 (Jan – Mar)
2013 Quarter 4 (Oct – Dec)
2013 Quarter 3 (Jul – Sep)
2013 Quarter 2 (Apr – Jun)
2013 Quarter 1 (Jan – Mar)
2012 Quarter 4 (Oct – Dec)
2012 Quarter 3 (Jul – Sep)
2012 Quarter 2 (Apr – Jun)
2012 Quarter 1 (Jan – Mar)
2011 Quarter 4 (Oct – Dec)
2011 Quarter 3 (Jul – Sep)

Other Disclosures

Market Making Execution Quality and Order Routing


STXG maintains a regular and rigorous review of order handling and execution with access to numerous tools and reports designed specifically to review compliance with industry regulations and overall best practices on a daily and monthly basis.  Historical execution quality statistics can be provided upon request. To view download and/or view our execution quality and market maker order routing click the links below.

605 Execution Quality

Click here and select STXG to view Execution Quality

606 Market Maker Order Routing

Click here and select STXG to view Market Maker Order Routing

 

Other Disclosures


» Account Usage
» Market Volatility
» Margin Disclaimer
» Understanding Margin
» Extended Hours Trading Risks
» JGTRRA
» Good Faith Violations
» Customer Identification Program (CIP) Notice
» Site End-User Agreement

Exchange Agreements

» NYSE/AMEX
» NASDAQ
» OPRA

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