Compliance & Regulatory
Great Point Capital LLC is committed to transparency and regulatory compliance. Please review the following disclosures regarding our operations, registrations, and the risks associated with trading securities.
Great Point Capital LLC is a registered broker-dealer and a member of the following regulatory organizations:
SIPC protects securities customers of its members up to $500,000 (including $250,000 for claims for cash). An explanatory brochure is available upon request or at www.sipc.org.
Trading in securities, including stocks, options, and other financial instruments, involves substantial risk of loss and is not suitable for all investors. Past performance, whether actual or indicated by historical tests, is not indicative of future results. You should carefully consider your financial condition, risk tolerance, and investment objectives before engaging in any trading activity.
Margin trading amplifies both gains and losses. You can lose more funds than you deposit in your margin account. A decline in the value of securities purchased on margin may require you to provide additional funds to avoid the forced sale of those securities or other assets in your account.
Short selling involves potentially unlimited risk. The price of a security can rise indefinitely, resulting in losses that exceed your original investment. Short sales also require a locate and may be subject to buy-in if the lender recalls shares.
Options are complex instruments that carry significant risk and are not suitable for all investors. Options traders should be aware of the risks associated with options trading, including the potential for rapid and substantial losses. Before trading options, you should read and understand the Characteristics and Risks of Standardized Options (ODD), available from the Options Clearing Corporation.
Electronic trading systems may experience failures, delays, or other disruptions that can affect trade execution. Market volatility, system capacity, and other factors may increase the risk of electronic trading. GPC is not liable for losses resulting from system failures or communication delays.
The information provided on this website is for informational purposes only and does not constitute investment advice, a recommendation, or an offer to buy or sell any security. You should consult with a qualified financial advisor before making any investment decisions.
Great Point Capital LLC is committed to protecting your personal and financial information. We maintain physical, electronic, and procedural safeguards that comply with federal regulations to protect your non-public information. For details, please review our Privacy Policy.
Great Point Capital LLC maintains a comprehensive Business Continuity Plan designed to address disruptions to our normal business operations. The plan is reviewed and updated annually. It addresses data backup and recovery, alternative communications, and regulatory reporting during significant business disruptions.
In accordance with SEC Rule 606, Great Point Capital LLC makes available quarterly reports detailing order routing practices for non-directed orders. These reports are available upon request and detail the execution venues and payment for order flow practices.
Great Point Capital LLC maintains a comprehensive AML compliance program in accordance with the USA PATRIOT Act and applicable regulations. We are committed to preventing the use of our services for money laundering or terrorist financing activities.
Under SEC Rule 606(a), broker-dealers that route equity and option orders on behalf of customers are required to prepare quarterly reports that disclose specific information about their order routing practices for non-directed1 orders in NMS stocks and option contracts in NMS securities.
Great Point Capital uses S3 Matching Technologies, LP as a vendor for this service. For GPC quarterly reports please visit:
public.s3.com/rule606/gpc/1 Non-directed orders are orders that the customer does not specifically instruct be routed to a particular venue.
As required by the SEC's Regulation Best Interest, Great Point Capital LLC provides a Customer Relationship Summary (Form CRS) to retail investors. This document summarizes key information about our firm, including our services, fees, conflicts of interest, and disciplinary history.
Download Customer Relationship Summary (PDF)