Disclosures

Regulation Best Interest

​

• Form CRS (Customer Relationship Summary) link to PDF

• Form CRS Disclosure Supplement link to PDF

​

Investment Advisor

​

• Investment Advisor Form ADV Part 2A Firm Brochure link to PDF

• Investment Advisor Form ADV Part 2B Wrap Program Brochure link to PDF

• Investment Advisor Code of Ethics link to PDF

General Disclosures

​

• Privacy Policy link to PDF

• Business Continuity Plan link to PDF

• DOL PTE 2020-22 link to PDF

• Electronic Communication Disclosure link to PDF

​

RBC Clearing and Custody ("RBC")

​

• RBC Fee Schedule link to PDF

​

Axos Clearing ("AXOS")

​

• AXOS Fee Schedule link to PDF

​

Market and Trading 

​

• SEC Rule 606 Disclosure link here

  • Aegis Capital Corp. is required to post Rule 606 report data for each market participant ID (“MPID”) that it maintains. Aegis maintains the following MPIDs:

    • AGIS – for securities and options trade data relating to accounts held with RBC Clearing & Custody.

    • AGCP – for securities and options trade data relating to accounts held with AXOS Clearing LLC.

  • ​Please contact Aegis if you have any questions about Rule 606 report data and how it applies to your order activity.

• Extended Hours Trading Risk Disclosure link to PDF

• FINRA Rule 5320 Disclosure link to PDF