Regulatory Disclosures
The Broker Dealer Division of INTL FCStone Financial Inc. is a member of FINRA/SIPC, MSRB registered and is a wholly owned subsidiary of INTL FCStone Inc.
SEC Order Execution / Routing Practices
To access this disclosure, please click here.
FINRA Rule 5320 Disclosure
To access this disclosure, please click here.
Options Disclosure
To access the Characteristics & Risks of Standardize Options, please click here.
To access the Options Allocation Assignment, please click here.
To access the Risk Disclosure for Uncovered Options, please click here.
Additional Disclosures
To access the Extended Hours Disclosure, please click here.
To access the Revenue Sharing Disclosure, please click here.
To access the Mutual Fund Disclosure, please click here.
To access the Margin Disclosure Statement, please click here.
To access the IRS Non-Bank Trustee Disclosure Statement, please click here.
To access the ERISA Compensation Disclosure Statement, please click here.
To access the Callable Securities Procedures Disclosure, please click here.
To access the FDIC Insured Deposit Sweep Program Disclosure, please click here.
To view the list of FDIC IDP Participating Banks please click here.
To access the Insured Deposit Program Fact Sheet, please click here.
To access the Investor Profile Definitions, please click here.
To access the Notice to Canadian Clients, please click here.
Statements of financial condition
View recent statements of financial condition:
Each annual report is filed with the Securities and Exchange Commission pursuant to Rule 17a-5 of the Securities Exchange Act, and is available for inspection at the principal office of the Company and at the regional office of the Securities and Exchange Commission.
Regulatory Links
MSRB
Business Continuity Plan Disclosure
INTL FCStone Financial Inc. BCP Disclosure
Privacy Policy