Legal

Below you will find links to important documents.

Gatsby Documents

  • Commission & fee schedule
  • Data disclosures
  • Platform and Data Disclosures
  • Gatsby T&C’s
  • Use and risk disclosures
  • Gatsby Digital Privacy Policy
  • Gatsby Securities Privacy Policy and Annual Disclosure
  • Low priced securities disclosure
  • Gatsby Rewards Terms and Conditions
  • Gatsby Margin and Short Agreement
  • Gatsby Securities Business Continuity Plan
  • Extended Hours Trading Disclosures
  • Client Relationship Summary
  • Plaid End User Agreements
  • Popular Tickers in Gatsby

    • 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
  • Master Securities Lending Agreement
  • Fully-Paid Securities Lending Program
  • Apex SEC Rule 606 and 607 Disclosures Regarding Payment for Order Flow

    • 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
  • UTP Plan Subscriber Agreement Terms and Conditions
  • Orbis CTA Exhibit B Agreement for Market Data Display Services