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.
Disclosure to Clients Trading in Pre and Post Markets
Payment for Order Flow Policies
Business Continuity Plan: Summary Disclosure Statement
Pandemic Contingency Plan
Current Money Market Rates
Electronic Communications Disclaimer
Business Entertainment Disclosure
Privacy Policy
Midwood Securities makes no warranties or representations of any sort with respect to any information contained at any of the websites accessed directly or indirectly from this website. Links to third party information are provided as a courtesy solely for the recipients information, and Midwood Securities makes no commitment as to the completeness or accuracy of the information contained at any website to which this website is linked.