FINRA
Jeffrey Matthews is registered with the U.S. Securities and Exchange Commission (SEC) (www.sec.gov) which is a governmental agency whose mission is to protect investors, maintain fair, orderly and efficient markets, and facilitate capital formation. We are also a member of the Financial Industry Regulatory Authority (FINRA) (www.finra.org), which is the largest independent regulator for all securities firms doing business in the United States. Neither FINRA nor the SEC approves or endorses the products or services offered by the Company.
MSRB
In order to participate in the municipal securities markets, we are also required to be registrants with the Municipal Securities Rulemaking Board (MSRB) (www.msrb.org) whose mission is to protect investors, municipal entities and the public interest by promoting a fair and efficient municipal market, regulating firms that engage in municipal securities and advisory activities, and promoting market transparency. The MSRB does not approve or endorse the products or services offered by the Company.
SIPC*
Jeffrey Matthews is a member of the Securities Investor Protection Corporation (SIPC) and our clients are therefore eligible for SIPC insurance protection. In the rare and unforeseen event that Jeffrey Matthews would become insolvent and by some unlikely circumstance there were securities missing from your account, SIPC reserve funds would be available to satisfy your claims against the firm, up to $500,000 per client, including up to $250,000 in cash. Additional information is available at www.sipc.org.
RBC Correspondent Services
Our clearing firm, RBC Correspondent Services, is a division of RBC Capital Markets, LLC, member NYSE, FINRA, and SIPC. In addition to the insurance protection provided to all SIPC members, RBC Capital Markets has purchased an excess SIPC insurance policy from Lloyd’s of London that provides additional securities and cash protection up to $99.5 million per SIPC qualified account (of which $900,000 may be cash). The firm’s excess SIPC policy is subject to a maximum aggregate amount payable of $400 million.
*Neither SIPC protection, nor protection in excess of that offered by SIPC, covers a decline in the value of a client’s assets due to market loss. Additional information is available at www.sipc.org.
For more information, please contact us.