OUR MEMBERSHIPS, CAPITALIZATION AND BANKING RELATIONSHIP
Feldman, Ingardona & Co. is a member of the Financial Industry Regulatory Authority (FINRA), the Securities Industry Protection Corporation (SIPC) and a Municipal Securities Rulemaking Board (MSRB) registrant. As such, we are subject to all rules and regulations of these organizations and are required to file monthly and quarterly financial and operational reports (FOCUS reports) within 17 business days of month's end. We maintain a capital base well in excess of the net capital requirements of our regulators. Our financial statements are audited annually by an independent public accounting firm and submitted to our various regulators. In addition, we are subject to financial and compliance examinations by FINRA and the SEC on a surprise basis. BMO Harris Bank in Chicago, Illinois handles our commercial banking activities, a relationship that has been maintained since 1980.