Regulatory Disclosures
The Broker-Dealer Division of StoneX Financial Inc. is a member of FINRA/SIPC, MSRB registered and is a wholly owned subsidiary of StoneX Group Inc. You can learn more about the background of StoneX Financial Inc. on Brokercheck.
SEC Order Execution / Routing Practices
To access this disclosure, please click here.
Click here to access the Firm’s Disclosure of SEC-Required Order Execution Information (Rule 605).
Equity Order Handling Protocols & Disclosures
To access this disclosure, please click here.
FINRA Rule 5320 Disclosure
To access this disclosure, please click here.
Additional Disclosures
To access the Extended Hours Disclosure, please click here.
To access the Margin Disclosure Statement, please click here.
To access the IRS Non-Bank Trustee Disclosure Statement, please click here.
To access the Callable Securities Procedures Disclosure, please click here.
To access the FDIC Insured Deposit Sweep Program Disclosure, please click here.
To view the list of FDIC IDP Participating Banks please click here.
To view the Characteristics and Risks of Standardized Options, please click here.
To access the Notice to Canadian Clients, please click here.
To access the MSRB Investor Client Education and Protection Disclosure, please click here.
Customer Relationship Summary
To access the StoneX Financial Inc. Form CRS, please click here.
Statements of financial condition
View recent statements of financial condition:
Each annual report is filed with the Securities and Exchange Commission pursuant to Rule 17a-5 of the Securities Exchange Act, and is available for inspection at the principal office of the Company and at the regional office of the Securities and Exchange Commission.
Regulatory Links
MSRB
Business Resiliency Disclosure
StoneX Financial Inc. Business Resiliency Disclosure
Privacy Policy
StoneX Financial Inc. Privacy Policy
California Privacy Notice
StoneX Group Inc. California Privacy Notice
Additional disclosures applicable to institutional accounts clearing through BofA Securities, Inc.