Disclosures
Statement of Financial Condition-SEC Rule 17a-5(c)
In accordance with Securities Exchange Act Rule 17a-5(c), Axos Clearing LLC (“Axos” or “Axos Clearing”) makes its Statement of Financial Condition available at the following link:
June 2024
December 2023
June 2023
For further information or assistance, please contact our Client Services Department at (866) 774-0218.
June 2024
December 2023
June 2023
For further information or assistance, please contact our Client Services Department at (866) 774-0218.
USA Patriot Act
For information regarding Axos Clearing’s efforts to combat money laundering and details concerning Axos Clearing’s compliance with anti-money laundering regulations such as the USA PATRIOT Act, please click on the following link:
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Privacy Disclosure-Reg S/P
Axos Clearing is committed to the privacy and protection of the confidential information it possesses. For further information on how Axos Clearing collects, shares, and protects customer information, please click on the following links:
Axos-Clearing-LLC-Privacy-Notice-10.2021-Broker Dealer
Axos-Clearing-LLC-Privacy-Notice-10.2021-RIA
Axos-Clearing-LLC-Privacy-Notice-10.2021-Broker Dealer
Axos-Clearing-LLC-Privacy-Notice-10.2021-RIA
FINRA BrokerCheck Rule 8312
BrokerCheck is a free tool from FINRA that can help you research the professional background of brokers and brokerage firms as well as investment adviser firms and advisers. BrokerCheck can be accessed by clicking on the following link: http://brokercheck.finra.org/
Routing Disclosure-Rule 606
The U.S. Securities and Exchange Commission’s client disclosure rule, Rule 606, requires all broker-dealers that route orders in equity and options securities to make available quarterly reports that present a general overview of their routing practices. The reports must identify the significant venues to which the client orders were routed for execution during the applicable quarter and disclose the material aspects of the broker-dealer’s relationship with such venues. With trades being performed through Axos Clearing’s MPID, please refer to the links below.
Current Reports: View Public Report Library
Historical Reports: View Historical Reports
As required under SEC Rule 606(b)(1), customers may request specific order routing and execution information from their clearing firm. The information will provide the identity of the market center to which customer orders were routed for execution in the six months prior to the request, whether the orders were directed orders or non-directed orders, and the time of the executions, if any, that resulted from such orders for both held and not held orders.
Current Reports: View Public Report Library
Historical Reports: View Historical Reports
As required under SEC Rule 606(b)(1), customers may request specific order routing and execution information from their clearing firm. The information will provide the identity of the market center to which customer orders were routed for execution in the six months prior to the request, whether the orders were directed orders or non-directed orders, and the time of the executions, if any, that resulted from such orders for both held and not held orders.
Business Continuity Plan Disclosure-Rule 4370
Axos Clearing has prepared the following disclosure in accordance with FINRA Rule 4370.
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SIPC Rule 2266
Axos Clearing is a member of the Securities Investor Protection Corporation (“SIPC”). You may obtain information about SIPC, including the SIPC Brochure and information about which assets are eligible for SIPC protection, by contacting SIPC at 1-202-371-8300 or visiting its website at www.sipc.org.
MSRB Investor Brochure
In addition to being registered with the Securities Exchange Commission (“SEC”) and a member of the Financial Industry Regulatory Authority (”FINRA”), Axos Clearing is a member of the Municipal Securities Rulemaking Board (“MSRB”). MSRB provides customers an investor brochure that describes protections that may be provided by the MSRB rules and how to file a complaint with an appropriate regulatory authority. To access this information, please click on the following link:
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Axos Clearing Base Rate (ACBR)
Axos Clearing Base Rate (ACBR) = 10.25%.
ACBR was last changed on 7/27/2023 and is subject to change without notice. Please contact your broker to determine the margin interest rate for your account.
ACBR was last changed on 7/27/2023 and is subject to change without notice. Please contact your broker to determine the margin interest rate for your account.
The Broker Call (or Call Money) Rate
The Broker Call (or Call Money) Rate = 6.75%
The Broker Call Rate was last changed on 9/19/2024 and is subject to change without notice. It can be found in various financial newspapers including the Wall Street Journal. Please contact your Introducing Broker Dealer to determine the margin interest rate for your account.
The Broker Call Rate was last changed on 9/19/2024 and is subject to change without notice. It can be found in various financial newspapers including the Wall Street Journal. Please contact your Introducing Broker Dealer to determine the margin interest rate for your account.
Axos Clearing LLC Client Relationship Summary ("FORM CRS")
Regulation Best Interest requires broker dealers and investment advisers to provide clients with a relationship summary describing available services, fees, conflicts of interest, and other important information about the broker dealer or adviser. To see Axos Clearing LLC’s Client Relationship Summaries please click on the following links:
Axos Clearing LLC Client Relationship Summary – Broker Dealer
Axos Clearing LLC Client Relationship Summary – RIA
Axos Clearing LLC Client Relationship Summary – Broker Dealer
Axos Clearing LLC Client Relationship Summary – RIA
Customer Agreement
Axos Clearing LLC’s Customer Agreement sets forth the terms and conditions that govern brokerage accounts carried by Axos Clearing LLC. A copy of our current Customer Agreement can be found here.