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  CFT Financials
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  Posted Monthly Report Pursuant to SEC Rule 605
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  Posted Quarterly Report Pursuant to SEC Rule 606
• 19 October 2023 
  Business Continuity Plan
• 17 May 2024 
  MSRB Rule G43 Policies
• 7 March 2024 
  Anti-Money Laundering Policy Statement
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  Disclosure Statement
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  Extended Hours Trading Risk Disclosure
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  FINRA Rule 5320 Disclosure
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  OCC Options Disclosure & Supplement
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  Securities Futures Disclosure

 

Tradition Securities and Derivatives LLC is a member of NFA / FINRA / MSRB / SIPC / Tradition SEF LLC.  / NASDAQ / NasdaqPHLX / NasdaqISE / NasdaqGEMX and the major exchanges.  

Tradition Securities and Derivatives, LLC is an affiliate of Tradition SEF LLC and other Tradition Group entities. For a list of Tradition Group affiliates, please refer to the website and latest annual report for Compagnie Financiere Tradition SA.

Check the background of our firm on FINRA's BrokerCheck.