Investor Protection Principles
BTIG, LLC has adopted the following principles to eliminate the potential conflicts of interest that may arise out of a relationship between our Investment Banking and Research Departments. They are as follows:
- There is no direct link between compensation for analysts and investment banking;
- BTIG Research Analysts are not compensated for a specific investment banking services transaction;
- A research principal approves all recommendations;
- Investment banking has no input into analyst compensation;
- Discontinuation of coverage is disclosed as well as the rationale for such termination;
- Research reports disclose whether the firm has received or is entitled to receive compensation from a covered company over the past 12 months; and
- This process is monitored to ensure compliance with these principles.
- Privacy Statement
- Business Continuity Plan
- SEC Rule 606
- Extended Hours Trading Risk Disclosure
- Order Handling Disclosure
- FINRA and SIPC Notification
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- Customer Identification Program
- FINRA Rule 5320 Disclosure
- FINRA Rule 2124 Net Orders
- FINRA Rule 5270 Disclosure
- Investor Protection Principles
- Guaranteed Orders
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- Report Disclaimer
- Imagery Use
- Disclaimer