Disclosure of SEC-Required Order Routing Information -- Sec Rule 606 Report (formerly SEC Rule 11AC1-6 Report)
As a broker/dealer that routes customer orders in equity and option securities, Midwood Securities is obligated to provide statistical information about our order routing practices under SEC rule 606. Midwood Securities quarterly statistical data is presented below. Please note a written copy of this report is available upon request.
Disclosure of SEC-Required Customer Identification Procedures
To
help the government fight the funding of terrorism and money laundering
activities, federal law requires financial institutions to obtain, verify, and
record information that identifies each person who opens an account.
Payment for Order Flow Policies
Business Continuity Plan: Summary Disclosure Statement
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