Legal
Apex Clearing Futures Disclosures
Commodity Futures Trading Commission Regulation 1.55 Disclosures
Customer Risk Disclosure for Futures and Options
Futures Supplement to FOCUS Report
Download Futures Supplement to FOCUS Report in PDF format.
Daily Disclosures
The daily Statements of:
- Segregation Requirements and Funds in Segregation for Customers Trading on U.S. Exchanges, and
- Secured Amounts and Funds Held in Separate Accounts for 30.7 Customers Pursuant to Commission Regulation 30.7
Most current 12-month period are available here:
Financial Summary
A summary schedule of Apex Clearing’s adjusted net capital, net capital, and excess net capital as of the month-end for the 12 most recent months can be downloaded here:
The most recent audited annual Apex Statement of Financial Condition can be found on the Disclosure page of this website:
https://library.apexfintechsolutions.com/legal/disclosures/
Financial information regarding Apex Clearing, including how Apex Clearing invests and holds customer funds, may be obtained from the National Futures Association at the following link:
https://www.nfa.futures.org/BasicNet/basic-profile.aspx?nfaid=l46QDyMcnhU%3D
Additional financial information on all futures commission merchants is available from the Commodity Futures Trading Commission at the following link:
https://www.cftc.gov/MarketReports/financialfcmdata/index.htm