Legal

Below you will find links to important documents.

Gatsby Documents

  • Commission & fee schedule
  • Data disclosures
  • Product feature disclosures
  • Gatsby T&C’s
  • Use and risk disclosures
  • Privacy Policy
  • Security Policy
  • Low priced securities disclosure
  • Gatsby Rewards Terms and Conditions
  • Gatsby Margin and Short Agreement

    • Apex Documents

  • Options Agreement
  • Apex New Account Form
  • Apex Annual Disclosure Statement
  • Apex Clearing Brochure
  • Statement of financial condition
  • FDIC Insurance Sweep T&C's
  • Apex Margin Disclosure Statement

    • ViewTrade Documents

  • Jurisdictions document
  • Business Continuity plan [Business Continuity]
  • Link to VT Website for all additional disclosures
  • Banking Information and Funds Availability Disclosure
  • Rule 606 & rule 607 link
  • Public Risk Disclsoure
  • ViewTrade Privacy Policy
  • 2020 Annual Disclosure Statement
  • ViewTrade Customer Relationship Summary
  • ViewTrade Regulation Best Interest Disclosure

    • Regulatory Documents

  • Characterization & Standard risk of options
  • Day Trading risk disclosure
  • Customer ID Program Notice
  • ETF Disclosure
  • OPRA Policy with Respect to the Term NONPROFESSIONAL
  • OPRA Subscriber Agreement

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