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Disclosures & Regulatory

Records, on file
and in the open.

USREM Securities, LLC is a broker–dealer registered with the U.S. Securities and Exchange Commission, a member of FINRA and SIPC, and operates this site as an Alternative Trading System. The documents below are the firm’s public disclosures, current as of January 2026.

FINRA CRD#
317571
SEC File #
8-70835
Form ATS–N
On file, SEC
Document · Title
Subject
Last Updated
  1. 01
    Client Relationship Summary
    SEC · 17 CFR 240.17a-14

    Summary of services, fees, conflicts of interest, and disciplinary history. Required by SEC Rule 17a-14 for retail investors.

    Effective Jan 2, 2026
  2. 02
    Privacy Policy
    Reg S-P · GLBA

    How USREM collects, uses, and stores personally identifiable information. Cookies, opt-out mechanism, third-party transfers.

    Updated Jan 2, 2026
  3. 03
    Terms of Use
    FINRA Rule 2268

    Terms governing the relationship between USREM Securities and Users of the Platform. Includes pre-dispute arbitration agreement.

    Updated Jan 2, 2026
  4. 04
    Business Continuity Plan
    FINRA Rule 4370

    Plan for responding to events that may significantly disrupt operations. Required disclosure under FINRA Rule 4370.

    Updated Jan 2, 2026
  5. 05
    Customer Identification Program Notice
    31 CFR 1023.220 · USA PATRIOT Act

    Information collected to verify customer identity under the USA PATRIOT Act and FinCEN AML rules.

    Updated Jan 2, 2026
  6. 06
    Transfer Restrictions & Tax Disclosure
    IRC § 7704 · Treas. Reg. § 1.7704-1(e)(2)

    Sponsor approval, the mandatory minimum transfer floor (the greater of $100,000 or 2.3% of fund capital), the no-aggregation rule, and the pass-through (PTP) tax rationale.

    Updated June 2026
External Records

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brokercheck.finra.org  →
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Compliance contact

Questions on any disclosure go to the Chief Compliance Officer.

For copies of any document on this page, written notice of changes, or to file a complaint, contact the firm directly.

Email Compliance →info@usremsecurities.com