Business Continuity Plan
Commerce Brokerage Services, Inc. (CBSI), has developed a Business Continuity Plan in accordance with the U.S. Securities and Exchange Commission (SEC) FINRA Rule 4370 requiring members to establish Emergency Preparedness Plans and Procedures. Our Business Continuity Plan provides you with information on how we will respond to events that significantly disrupt our business. Since the timing and impact of disasters and disruptions are unpredictable, we will have to be flexible in responding to actual events as they occur.
Order Routing Information
Commerce Brokerage Services, Inc. (CBSI), has prepared this information in accordance with U.S. Securities and Exchange Commission Exchange Act Rule 11Ac1-6 (17 CFR §240.11Ac1-6), which requires all brokerage firms to make publicly available quarterly reports of certain information on their order routing practices. The report provides information on the routing of "non-directed orders," defined as any order that the customer has not specifically instructed to be routed to a particular venue for execution. For these non-directed orders, CBSI has selected the execution venues on behalf of its customers.
FINRA has issued investor guidance to provide some basic facts to investors about the mechanics of margin accounts. View the FINRA Margin Disclosure Statement [PDF] or find additional information on margin at the Margin Information section of FINRA's website
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Securities and Advisory services provided through Commerce Brokerage Services, Inc., member FINRA, SIPC, and a registered investment advisor. Insurance products are offered through Commerce Insurance Services, Inc. Both entities are subsidiaries of Commerce Bank.
Investments in securities and insurance products are Not FDIC insured; Not Bank-Guaranteed and May Lose Value.
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