Skip to main content

NMS Equity and Option Order Routing Reports (SEC Rule 606(a) Reports)

Read More 

SEC Rule 606(a) requires broker-dealers that route equity and option orders on behalf of customers to prepare quarterly reports that disclose specific information about their order routing practices for non-directed orders in NMS stocks and NMS securities that are options contracts. The reports are published as PDFs and XML files for each calendar quarter. Data is collected from firms at the end of the quarter and reports are published shortly thereafter. Learn more about equities and options

Displaying 1 - 100 of 8743 Glossary
Calendar year for which a firm submits an SEC Rule 606(a) report.
Calendar quarter for which a firm submits an SEC Rule 606(a) report.
CRD of the firm submitting the SEC Rule 606(a) report or adopting a clearing firm's report.
Name of the firm submitting the SEC Rule 606(a) report or adopting a clearing firm's report.
Adopting Clearing Firm's Report by Reference
Yes/No field indicating if the member identified in the “Firm” field is adopting a clearing firm's report by reference.
Provides the name of the clearing firm whose report the member identified in the “Firm” field is adopting by reference.
606(a) Report
Link to download the SEC Rule 606(a) report in a PDF or XML format.
A free form field used by firms to provide additional information in connection with the submission of SEC Rule 606(a) reports.
2025 Q3 17433 ACADEMY SECURITIES, INC. No NA PDF|XML
2025 Q3 1042 ALLEN & COMPANY LLC No NA PDF|XML
2025 Q3 41139 ALTERNA SECURITIES, INC. No NA PDF|XML
2025 Q3 13609 BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC. No NA PDF|XML
2025 Q3 1331 BROWN, LISLE/CUMMINGS, INC. No NA PDF|XML
2025 Q3 166318 CHINA RENAISSANCE SECURITIES (US) INC. No NA PDF|XML
2025 Q3 22208 CITIZENS JMP SECURITIES, LLC No NA PDF|XML
2025 Q3 165533 CLSA AMERICAS, LLC No NA PDF|XML
2025 Q3 38964 CREAND SECURITIES No NA PDF|XML
2025 Q3 199 D.A. DAVIDSON & CO. No NA PDF|XML
2025 Q3 130645 DAWSON JAMES SECURITIES, INC. No NA PDF|XML
2025 Q3 308213 DIGITAL BROKERAGE SERVICES LLC No NA PDF|XML
2025 Q3 24746 DOWLING & PARTNERS SECURITIES LLC No NA PDF|XML
2025 Q3 13109 EMPOWER FINANCIAL SERVICES, INC. No NA PDF|XML PERSHING7560GWFS
2025 Q3 159481 FENIX SECURITIES, LLC No NA PDF|XML
2025 Q3 47768 FERRETTI GROUP, INC. No NA PDF|XML
2025 Q3 44430 FIRST CITIZENS INVESTOR SERVICES, INC. No NA PDF|XML
2025 Q3 3641 FIRST COMMAND BROKERAGE SERVICES, INC. No NA PDF|XML
2025 Q3 17465 FROST BROKERAGE SERVICES, INC. No NA PDF|XML
2025 Q3 103727 GAGNON SECURITIES, LLC No NA PDF|XML NFS
2025 Q3 103727 GAGNON SECURITIES, LLC No NA PDF|XML SPGLOBAL
2025 Q3 120894 GENEOS WEALTH MANAGEMENT, INC. No NA PDF|XML
2025 Q3 375 H.C.WAINWRIGHT & CO., LLC No NA PDF|XML
2025 Q3 38993 HEIM, YOUNG & ASSOCIATES, INC. No NA PDF
2025 Q3 3420 HERBERT J. SIMS & CO, INC. No NA PDF|XML
2025 Q3 298809 HUATAI SECURITIES (USA), INC. No NA PDF|XML
2025 Q3 30177 HUNTER ASSOCIATES LLC No NA PDF|XML INFO
2025 Q3 106032 IDB CAPITAL CORP. No NA PDF|XML
2025 Q3 29249 INSIGNEO SECURITIES, LLC No NA PDF|XML
2025 Q3 139627 INTEGRITY ALLIANCE, LLC. No NA PDF
2025 Q3 19418 INTESA SANPAOLO IMI SECURITIES CORP. No NA PDF|XML
2025 Q3 6939 INVESCO CAPITAL MARKETS, INC. No NA PDF
2025 Q3 463 JANNEY MONTGOMERY SCOTT LLC No NA PDF|XML
2025 Q3 19524 JOHNSON RICE & COMPANY L.L.C. No NA PDF|XML
2025 Q3 24795 JOSEPH GUNNAR & CO. LLC No NA PDF|XML
2025 Q3 139148 KEPLER CAPITAL MARKETS, INC. No NA PDF|XML
2025 Q3 42046 KESTRA INVESTMENT SERVICES, LLC No NA PDF
2025 Q3 136300 KEY INVESTMENT SERVICES LLC No NA PDF|XML
2025 Q3 566 KEYBANC CAPITAL MARKETS INC. No NA PDF|XML
2025 Q3 104158 KOREA INVESTMENT & SECURITIES AMERICA, INC. No NA PDF|XML
2025 Q3 43706 LAMPOST CAPITAL, L.C. No NA PDF|XML
2025 Q3 7191 LASALLE ST SECURITIES, L.L.C. No NA PDF|XML
2025 Q3 7874 LBMZ SECURITIES, INC. No NA PDF|XML
2025 Q3 43098 LOOP CAPITAL MARKETS LLC No NA PDF|XML
2025 Q3 36368 MACQUARIE CAPITAL (USA) INC. No NA PDF|XML
2025 Q3 101080 MIDWESTERN SECURITIES TRADING COMPANY, LLC No NA PDF|XML
2025 Q3 309574 MONDEUM CAPITAL No NA PDF|XML
2025 Q3 12963 MONEY CONCEPTS CAPITAL CORP No NA PDF
2025 Q3 19685 MUFG SECURITIES AMERICAS INC. No NA PDF|XML
2025 Q3 13092 MUTUAL SECURITIES, INC. No NA PDF|XML
2025 Q3 39455 NATALLIANCE SECURITIES, LLC No NA PDF|XML
2025 Q3 16360 NEEDHAM & COMPANY, LLC No NA XML
2025 Q3 15768 NOBLE CAPITAL MARKETS, INC. No NA PDF|XML