For the Public
FINRA Data provides non-commercial use of data, specifically the ability to save data views and create and manage a Bond Watchlist.
For Industry Professionals
Registered representatives can fulfill Continuing Education requirements, view their industry CRD record and perform other compliance tasks.
For Member Firms
Firm compliance professionals can access filings and requests, run reports and submit support tickets.
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.
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Calendar year for which a firm submits an SEC Rule 606(a) report.
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Calendar quarter for which a firm submits an SEC Rule 606(a) report.
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CRD of the firm submitting the SEC Rule 606(a) report or adopting a clearing firm's report.
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Name of the firm submitting the SEC Rule 606(a) report or adopting a clearing firm's report.
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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.
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Provides the name of the clearing firm whose report the member identified in the “Firm” field is adopting by reference.
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606(a) Report
Link to download the SEC Rule 606(a) report in a PDF or XML format.
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A free form field used by firms to provide additional information in connection with the submission of SEC Rule 606(a) reports.
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| 2026 | Q2 | 8361 | A.G.P. / ALLIANCE GLOBAL PARTNERS | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2026 | Q2 | 139049 | ACP SECURITIES, LLC | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2026 | Q2 | 309048 | ADELPHI STOCK BROKERS | NO | NA | ||
| 2026 | Q2 | 15007 | AEGIS CAPITAL CORP. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2026 | Q2 | 26193 | ALAMO CAPITAL | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2026 | Q2 | 40077 | ALEXANDER CAPITAL, L.P. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2026 | Q2 | 36509 | ALIGHT FINANCIAL SOLUTIONS, LLC | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2026 | Q2 | 286504 | ALLARIA SECURITIES, LLC | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2026 | Q2 | 1042 | ALLEN & COMPANY LLC | NO | NA | PDF|XML | |
| 2026 | Q2 | 41139 | ALTERNA SECURITIES, INC. | NO | NA | PDF|XML | |
| 2026 | Q2 | 41139 | ALTERNA SECURITIES, INC. | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2026 | Q2 | 299274 | ALTRUIST FINANCIAL LLC | NO | NA | PDF|XML | |
| 2026 | Q2 | 117284 | AMERANT INVESTMENTS, INC. | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2026 | Q2 | 119249 | AMERICAN CAPITAL PARTNERS, LLC | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2026 | Q2 | 17437 | AMERICAN CENTURY INVESTMENT SERVICES INC. | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2026 | Q2 | 135288 | AMERICAN INDEPENDENT SECURITIES GROUP, LLC | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2026 | Q2 | 3001 | AMERICAN TRUST INVESTMENT SERVICES, INC. | YES | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2026 | Q2 | 155979 | ANDBANC BROKERAGE, LLC | NO | NA | XML | MPID |
| 2026 | Q2 | 155979 | ANDBANC BROKERAGE, LLC | NO | NA | MPID1 | |
| 2026 | Q2 | 155979 | ANDBANC BROKERAGE, LLC | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2026 | Q2 | 284714 | ANOS CAPITAL, LLC | NO | NA | PDF|XML | |
| 2026 | Q2 | 44856 | ARETE WEALTH MANAGEMENT, LLC | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2026 | Q2 | 282710 | ARKADIOS CAPITAL | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2026 | Q2 | 42057 | ARVEST WEALTH MANAGEMENT | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2026 | Q2 | 16629 | ASHTON THOMAS SECURITIES, LLC | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2026 | Q2 | 315263 | ATOMIC BROKERAGE LLC | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2026 | Q2 | 7995 | AUSDAL FINANCIAL PARTNERS, INC. | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2026 | Q2 | 142374 | AVENTURA SECURITIES, LLC | NO | NA | PDF|XML | |
| 2026 | Q2 | 41533 | B.B. GRAHAM & COMPANY, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2026 | Q2 | 173962 | BANKERS LIFE SECURITIES, INC. | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2026 | Q2 | 30648 | BANORTE SECURITIES INTERNATIONAL, LTD. | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2026 | Q2 | 132701 | BB SECURITIES | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2026 | Q2 | 70 | BCG SECURITIES, INC. | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2026 | Q2 | 168047 | BCI SECURITIES, INC. | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2026 | Q2 | 32754 | BEACONS STRATEGIC CAPITAL, INC. | NO | NA | PDF|XML | |
| 2026 | Q2 | 24771 | BEECH HILL SECURITIES, INC. | NO | NA | PDF|XML | |
| 2026 | Q2 | 24771 | BEECH HILL SECURITIES, INC. | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2026 | Q2 | 29278 | BELLE HAVEN INVESTMENTS, L.P. | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2026 | Q2 | 146936 | BENJAMIN F. EDWARDS & COMPANY, INC. | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2026 | Q2 | 13609 | BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC. | NO | NA | PDF|XML | NFS |
| 2026 | Q2 | 315086 | BGV SECURITIES | NO | NA | PDF|XML | MPID |
| 2026 | Q2 | 315086 | BGV SECURITIES | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2026 | Q2 | 44057 | BMO NESBITT BURNS SECURITIES LTD. | NO | NA | PDF|XML | |
| 2026 | Q2 | 231 | BNY MELLON SECURITIES CORPORATION | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2026 | Q2 | 17530 | BOK FINANCIAL SECURITIES, INC. | NO | NA | PDF|XML | |
| 2026 | Q2 | 17530 | BOK FINANCIAL SECURITIES, INC. | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2026 | Q2 | 19453 | BRADESCO INVESTMENTS INC. | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2026 | Q2 | 159384 | BRASIL PLURAL SECURITIES LLC | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2026 | Q2 | 5049 | BROWN ASSOCIATES, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2026 | Q2 | 1331 | BROWN, LISLE/CUMMINGS, INC. | NO | NA | PDF|XML | |
| 2026 | Q2 | 23407 | BUCKMAN, BUCKMAN & REID, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2026 | Q2 | 159712 | CABOT LODGE SECURITIES LLC | YES - Disclosure | RBC CAPITAL MARKETS, LLC | XML |