Alpaca Documents Library
Securities Disclosures
- Alpaca Securities Business Continuity Plan Summary
- Alpaca PFOF Disclosure
- Alpaca Securities Privacy Notice
- Alpaca Risks of Automated Trading
- Alpaca Conditional Orders Disclosure
- Alpaca Use and Risk Disclosures
- Alpaca Margin Disclosure Statement
- Alpaca Broker API Exhibit B: Other Fees
- FINRA - Customer Identification Program Notice
- FINRA - Day Trading Risk Disclosure
- FINRA - ETF Risk Disclosure
- FINRA - Extended Hours Trading Risk Disclosure
- FINRA - Investor Education and Protection
- Alpaca Securities Brokerage Fee Schedule
- Alpaca Securities LLC Audited Statement of Financial Condition (Dec 31, 2022)
- Alpaca Annual Client Disclosure Notice
- PTP Withholding Disclosure
- Responsibilities of Introducing Broker and Clearing Broker
- Alpaca Securities LLC Unaudited Statement of Financial Condition (June 30, 2023)
- Large Trader ID (LTID) Disclosure
- SIPC and Excess SIPC Protection
- Alpaca Options Disclosure
- Characteristics and Risks of Standardized Options
Crypto Disclosures
Crypto Agreements
Additional crypto information:
Several federal agencies have published advisory documents surrounding the risks of cryptocurrency.
CFPB's Consumer Advisory,
the CFTC's Customer Advisory,
the SEC's Investor Alert,
and FINRA's Investor Alert.
606 Reports
- SEC Rule 606 - 3Q2023 (Valid File)
- SEC Rule 606 - 2Q2023 (Valid File)
- SEC Rule 606 - 1Q2023 (Valid File)
- SEC Rule 606 - 4Q2022 (Valid File)
- SEC Rule 606 - 3Q2022 (Valid File)
- SEC Rule 606 - 2Q2022 (Valid File)
- SEC Rule 606 - 1Q2022 (Valid File)
- SEC Rule 606 - 4Q2021 (Valid File)
- SEC Rule 606 - 3Q2021 (Valid File)
- SEC Rule 606 - 2Q2021 (Valid File)
- SEC Rule 606 - 1Q2021 (Valid File)
- SEC Rule 606 - 4Q2020 (Valid File)
- SEC Rule 606 - 3Q2020 (Valid File)
- SEC Rule 606 - 2Q2020 (Valid File)
- SEC Rule 606 - 1Q2020 (Valid File)
Under SEC Rule 606(b)(1), customers can request specific order routing and execution information for the preceding six months. The information will include the identity of the venue where your orders were routed for execution, whether the orders were directed or non-directed, and if executed, the time of execution.
Under SEC Rule 606(b)(3), broker-dealers are required, upon request of a customer that places not-held orders, to provide specific disclosures regarding routing and execution of such orders for the prior six months.