Rockfleet offers taxable and tax-exempt products and services designed to meet the needs of institutions and individuals.

Fixed Income

Rockfleet offers taxable and tax-exempt fixed income products, including:

Rockfleet's new issue municipal securities calendar may be viewed here.

Examples of recent new issue municipal securities transactions may be viewed here.

Excess SIPC

Securities in accounts carried by First Southwest on bahlf of Rockfleet are protected in accordance with the Securities Investor Protection Corporation ("SIPC") up to $500,000 (including up to $250,000 for cash awaiting reinvestment). First Southwest also has arranged for Excess SIPC Insurance Coverage, which covers accounts up to $25 million per account. Neither coverage protects against a decline in the market value of securities, nor does either coverage extend to certain securities that are considered ineligible for coverage. For more details on SIPC, or to request a SIPC brochure, visit www.sipc.org or call 1-202-371-8300.

Bank Insured Deposit Program - FDIC Coverage

With Federal Deposit Insurance Corporation ("FDIC") insurance coverage at $250,000 per bank and based on the number of currently participating program banks, individual accounts at Rockfleet may be eligible for Federal Deposit Insurance Corporation ("FDIC") insurance protection in excess of $5 million through the Cash Force Bank Insured Deposit Program ("BIDP"). Joint accounts receive twice the amount of coverage. Balances in excess of these limits will be prompty swept back into the Government & Agency Securitiy Money Market Fund (CAGXX). The BIDP's current rate of interest is 0.04%.*

Please note that banks may be added or removed from the BIDP and that may affect the amount of FDIC insurance. The details of the rate paid by the program as well as the portion of the account balance being held at program banks are provided on monthly Rockfleet customer account statements. Clients always have the right to opt out of any particular financial institution should they so choose.

Complete program information and/or a list of participating banks may be requested here.


* The interest rate of the BIDP is current as of June 17, 2014.

Cash Management

CashForce Account
The CashForce account enhances brokerage accounts by providing the convenience of a checking account combined with the earning power and security of an FDIC-insured sweep program. Funds may also be accessed through a Visa debit card or ACH.
Dividend Reinvestment Program
The Dividend Reinvestment Program automatically reinvests dividends on approved equities.
Periodic Investment Program
The Periodic Investment Program provides the ability to systematically invest in one or more securities each month based on dollar amount rather than share amount.

Complimentary Newsletters

Rockfleet Weekly Municipal Market Update
Rockfleet produces a weekly newsletter for national distribution, which has received positive reviews by the Financial Times, CNBC, and Reuters, in addition to positive feedback from institutional investors. The firm's new issue calendar for the upcoming week is included. Additionally, key deals of the week are highlighted, whether or not the firm is participating, so as to provide comprehensive information to clients.

The newsletter provides analyses on major topics and issues affecting large clients active in the municipal securities market and educational tools as they relate to potentially misunderstood sectors, such as tax credit bonds. Underserviced institutional clients managing retail investments can use our analyses, resulting in increased order flow from this sector for new issue pricings.

Click here to subscribe.

Thomson Reuters Daily Newsletters

Online Account Access

Clients may view their account information and place trades online.

To log into your Rockfleet account, click here.

Electronic Delivery

Clients may elect for electronic delivery of statements, trade confirmations, proxy materials, and prospectus information. Contact your financial advisor for more information.

To view your Rockfleet account statements, click here.

First Southwest Company

Accounts are carried by First Southwest Company, member FINRA/SIPC.

Quick Links

Open an Account
Rockfleet services institutions and individuals. Click here to request new account forms.
Business Continuity Plan
Rockfleet's business continuity plan is designed to permit our firm to resume operations as quickly as possible, given the scope and severity of the significant business disruption. Read Rockfleet's Business Continuity Statement.
FirstSouthwest Company
FirstSouthwest Clearing delivers clearing services to broker-dealers and investment advisors across the United States. Find out more about FirstSouthwest Company.
SIPC
SIPC oversees the liquidation of member broker-dealers that close when the broker-dealer is bankrupt or in financial trouble, and customer assets are missing. Learn more about SIPC.
FDIC
The Federal Deposit Insurance Corporation (FDIC) is an independent agency created by the Congress to maintain stability and public confidence in the nation's financial system by: (1) insuring deposits; (2) examining and supervising financial institutions for safety and soundness and consumer protection; and, (3) managing receiverships. Learn more about FDIC.
FINRA
FINRA is an independent, not-for-profit organization authorized by Congress to protect America's investors by making sure the securities industry operates fairly and honestly. Learn more about FINRA.
SEC
The mission of the U.S. Securities and Exchange Commission is to protect investors, maintain fair, orderly, and efficient markets, and facilitate capital formation. Learn more about the SEC.
MSRB
The mission of the Municipal Securities Rulemaking Board is to protect investors, state and local government issuers, other municipal entities and the public interest by promoting a fair and efficient municipal market. Learn more about the MSRB.