Regulatory Information

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) NASD Rule 3500 Series 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 Public Disclosure Program
The FINRA (Financial Industry Regulatory Authority)1 developed the Public Disclosure Program for investors, and others, to gain convenient access to information about their broker. An informative brochure which provides information and addresses investors' questions about this program is available. View the brochure.

Margin Information
The FINRA has issued investor guidance to provide some basic facts to investors about the mechanics of margin accounts. View the FINRA Margin Disclosure Statement or additional information on margin can be found on the Margin Information section of FINRA's website.

Disclosures:

  1. On July 30, 2007, NASD (National Association of Securities Dealers, Inc.) consolidated with NYSE (New York Stock Exchange) Member Regulation to form FINRA, the Financial Industry Regulatory Authority.
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  • Commerce Brokerage Services, Inc., Member FINRA/SIPC, is a wholly owned subsidiary of Commerce Bank. This site is not intended for use by, or to provide any information to, investors in any state where Commerce Brokerage Services, Inc. is not registered or in any jurisdiction outside the United States of America where such use would be prohibited or otherwise regulated. Nothing on this web site shall be considered a solicitation to buy or an offer to sell a security to any person in any jurisdiction where such offer, solicitation, purchase or sale would be unlawful under the securities laws of such jurisdiction.