REGULATORY INFORMATION
Effective July 12, 2014, the U.S. Commodity Futures Trading Commission ("COMMISSION") requires each futures commission merchant (FCM) to provide information about the FCM that may be material to your decision to do business with such FCM. Our broker-dealer business is registered with FINRA.
Access Phillip Capital's regulatory disclosures, privacy information, compliance resources, and customer documentation.
REGULATORY DISCLOSURES
PRIVACY & COMMUNICATIONS
TRADING & MARKET INFORMATION
REGULATORY VERIFICATION & FIRM INFORMATION
View our firm’s history and regulatory actions on the NFA’s search system here: Basic Profile
View our firm’s business continuity statement here: BCP Statement