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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 Rule 605 Disclosure of Execution Practices

To access the reports, follow this link: http://vrs.vista-one-solutions.com/sec605rule.aspx

SEC Rule 606 Disclosure of Routing Practices
 
To access the reports, follow this link: 

http://vrs.vista-one-solutions.com/sec606rule.aspx

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 Order Flow/Routing Information 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 Cash Sweep Program Disclosure, please click here.

Statements of financial condition

View recent statements of financial condition:

Unaudited March 31, 2017

Audited September 30, 2017

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

www.finra.org  www.sipc.org 

www.finra.org/brokercheck

MSRB

www.msrb.org

BCP Disclosure

INTL FCStone Financial Inc. BCP Disclosure

Privacy Policy

INTL FCStone Financial Inc. Privacy Policy


Meet the Team

Orlando, FL
329 Park Avenue North
Suite 350
Winter Park, FL 32789
Tel: +1 (800) 541-1977

or

Miami, FL
1221 Brickell Ave
Suite 2500
Miami, FL 33131
Tel: +1 (305) 925-4975

or

New York, NY
708 Third Avenue
15th Floor
New York, NY 10017
Tel: +1 (212) 766-0100

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