Brean Murray, Carret & Co.’s Compliance Department advises and assists our business units in assuring compliance with the rules and regulations that govern our industry. Our Compliance Officers keeps abreast of changes in regulations and distributes our policies and procedures throughout the firm.

For more information, please see our

Legal Disclaimer (pdf)
Privacy Statement (pdf)
New Account Policy (pdf)
Extended Hours Trading Risk Disclosure (pdf)

SEC Order Routing  Information:
SEC Rule 605
SEC Rule 606

Effective August 5, 2004, NYSE Rule 446 requires members and member organizations to establish and maintain a Business Continuance Plan relating to an emergency or significant business disruption. The firm's business continuity strategy is designed to enable Brean Murray, Carret & Co. to meet its existing obligations and to restore the firm’s operations in the most efficient and timely manner.

Business Continuance Plan (pdf)

For compliance-related issues, our Compliance Department can be reached at:

Brean Murray, Carret & Co., LLC
570 Lexington Avenue
New York, NY 10022-6895

phone 212.702.6627