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
CUSTOMER COMPLAINTS SHOULD BE DIRECTED TO THE FOLLOWING
Chief Compliance Officer
712 Fifth Avenue, 21st Floor
New York, NY 10019
BUSINESS CONTINUITY PLAN
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 SEC Rule 605 Monthly Reports:
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
FOR INSTITUTIONAL & PROFESSIONAL CLIENTS ONLY – NOT INTENDED FOR RETAIL CUSTOMER USE
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