FINRA Requirements

Rule 606

The TAG Report is an independent, comprehensive analysis of order flow that provides breakouts and performance statistics in connection to  best execution. The TAG Report is the standard in the industry for evaluating competitiveness.  Please click the URL link below and search Blaylock Beal Van, LLC.

TAG Report Link

Rule 2210

The Securities and Exchange Commission approved FINRA Rule 2210 requiring broker-dealers to include a readily apparent reference and hyperlink to BrokerCheck on their websites.

The amended Communications with the Public rule applies to this website being viewed by retail investors, as it includes a professional profile of one or more registered persons, who conduct business with retail investors.

BBV complies with Rule 2210 by including the following link to BrokerCheck.

Notice to Customers Regarding Information Collected for Customer Identification Purposes

To help the US government fight the funding of terrorism and money laundering activities, Blaylock Beal Van, LLC (“BBV”) is required by the USA Patriot Act and FINRA Rule 3310 to obtain, verify, and record information that identifies each client. As such, BBV has established a Client Identification Program (“CIP”) and will collect certain information such as entity name, physical address, tax identification number as well as any other information that will allow BBV to identify that entity.

BBV may also request to obtain identifying documents, such as formation documents, business licenses or similar records.