Regulatory Disclosures

MEMBER

PureStream, LLC is a member of FINRA (Financial Industry Regulatory Authority), and SIPC (Securities Investor Protection Corporation).

FINRA can be reached at www.finra.org or (301) 590-6500.

All customers are advised that information about SIPC, including the SIPC brochure, may be obtained by contacting SIPC. SIPC may be contacted by phone, email or regular mail:

Securities Investor Protection Corporation
805 15th Street, N.W. Suite 800
Washington, D.C. 20005-2215

Tel: (202)371-8300
Fax: (202)371-6728
Email: asksipc@sipc.org
Website: www.sipc.org

CUSTOMER COMPLAINTS SHOULD BE DIRECTED TO THE FOLLOWING

Armando Diaz
Chief Compliance Officer

PureStream, LLC
10 East 53rd Street, 18th Floor
New York, NY 10022

Email: compliance@purestream.tech

BUSINESS CONTINUITY PLAN

Please find PureStream’s Business Continuity Plan here

SEC RULE 605 DISCLOSURES (FORMERLY RULE 11AC1-5)

SEC Rule 605 requires securities exchanges, alternative trading systems, market makers and other market centers to publicly disclose monthly execution quality statistics for National Market System securities based on certain specified requirements. Please be aware that based on the SEC's requirements the statistics prepared and disclosed by PureStream, LLC pursuant to Rule 605 only capture a subset of the order flow handled and executed by the firm.

PureStream Rule 605 Monthly Reports:

August 2021
July 2021


For additional information on SEC Rule 605:

Disclosure of SEC-Required Order Execution and Routing Practices
Staff Legal Bulletin No. 12R (Revised): Frequently Asked Questions About Rule 11Ac1-5
Responses to Frequently Asked Questions Concerning Rule 605 of Regulation NMS
Appendix A - Text of Joint-SRO Plan

RISK DISCLAIMERS

FOR INSTITUTIONAL & PROFESSIONAL CLIENTS ONLY – NOT INTENDED FOR RETAIL CUSTOMER USE

All investing involves risk, including without limitation, the risk of total loss of principal invested. The products, services, and materials listed on this site may not be suitable for your particular circumstances. All content on this site is provided for informational purposes only and is subject to change without notice. Nothing on this site is intended as research or an offer, solicitation, advice, or recommendation to buy or sell any financial product or service. Nothing on this site should be used in any way to evaluate any particular transaction. Please consult your own independent professional advisors regarding financial, investment, legal, tax, accounting and other considerations relating to a a transaction, including its suitability for you.

System response, speed, market data, and account access times are affected by many factors, including market volatility, market conditions, system performance, and other factors.

EMAIL

This message, and any attachments, is for use only by the intended recipients. This communication may contain information that is confidential, constitutes attorney work product, is privileged, or otherwise protected from disclosure. If you have received this message in error, PureStream requests that you notify us immediately, and that you immediately delete and do not review, copy, retain, or disseminate the message or its attachments.