Compliance Links
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Go to your state securities regulator to do additional research on brokers and investment advisers. BrokerCheck does not have information regarding civil litigation not involving investments, civil protective orders, criminal matters unless they are felonies, or misdemeanors that are investment-related or involve theft or a “breach of trust.”
Go to your state securities regulator to do additional research on brokers and investment advisers. BrokerCheck does not have information regarding civil litigation not involving investments, civil protective orders, criminal matters unless they are felonies, or misdemeanors that are investment-related or involve theft or a “breach of trust.”
The SEC’s focus on Main Street investors reflects the fact that American households own $38 trillion worth of equities — more than 59 percent of the U.S. equity market — either directly or indirectly through mutual funds, retirement accounts and other investments.
VSI Securities, Inc.
Routing Disclosures Made Pursuant to Rule 606 of SEC Regulation NMS
Rule 606 of SEC Regulation NMS requires broker-dealers that receive non-directed client orders to publicly disclose, on a quarterly basis, the top execution venues to which such orders are routed for execution. Broker-dealers must also disclose material aspects of any relationships they maintain with those venues.
VSI Securities, Inc. is a fully disclosed introducing broker-dealer. We do not execute or route orders directly. All equity and options orders we receive from customers are sent to our clearing firm, Pershing LLC, which is responsible for order routing, execution, comparison, allocation, clearance, and settlement.
VSI Securities adopts by reference the Rule 606(a) reports prepared and published by Pershing LLC.
To view the most recent quarterly Rule 606 reports for orders routed by Pershing LLC on behalf of VSI Securities clients:
In the search box at the top of the page, type “Pershing LLC” and submit.
The reports are updated quarterly and remain available for at least three years at no charge.
VSI Securities, Inc. does not receive payment for order flow from any market center or broker-dealer for equity or options orders.
For questions about our order routing practices, please contact us at:
compliance@vsisecurities.com or +1 (305) 372-2446.
Last updated: May 2026
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