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

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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 7139 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 Q2 3767 &PARTNERS YES - Disclosure PERSHING LLC PDF|XML
2025 Q2 41768 ACE DIVERSIFIED CAPITAL, INC. YES - Disclosure WEDBUSH SECURITIES INC. PDF|XML
2025 Q2 139049 ACP SECURITIES, LLC YES - Disclosure PERSHING LLC PDF|XML
2025 Q2 36509 ALIGHT FINANCIAL SOLUTIONS, LLC No NA XML PERSHING
2025 Q2 286504 ALLARIA SECURITIES, LLC YES - Disclosure PERSHING LLC PDF|XML
2025 Q2 1042 ALLEN & COMPANY LLC No NA PDF|XML
2025 Q2 41139 ALTERNA SECURITIES, INC. YES - Disclosure PERSHING LLC PDF|XML
2025 Q2 41139 ALTERNA SECURITIES, INC. No NA PDF|XML
2025 Q2 117284 AMERANT INVESTMENTS, INC. YES - Disclosure PERSHING LLC PDF|XML
2025 Q2 17437 AMERICAN CENTURY INVESTMENT SERVICES INC. YES - Disclosure PERSHING LLC PDF|XML
2025 Q2 14869 AMERITAS INVESTMENT COMPANY, LLC No NA PDF|XML
2025 Q2 284714 ANOS CAPITAL, LLC No NA XML
2025 Q2 44856 ARETE WEALTH MANAGEMENT, LLC YES - Disclosure PERSHING LLC PDF|XML
2025 Q2 42057 ARVEST WEALTH MANAGEMENT YES - Disclosure PERSHING LLC PDF|XML
2025 Q2 16629 ASHTON THOMAS SECURITIES, LLC YES - Disclosure PERSHING LLC PDF|XML
2025 Q2 7995 AUSDAL FINANCIAL PARTNERS, INC. YES - Disclosure PERSHING LLC PDF|XML
2025 Q2 13686 AVANTAX INVESTMENT SERVICES, INC. No NA PDF|XML
2025 Q2 132701 BANCO DO BRASIL SECURITIES LLC YES - Disclosure PERSHING LLC PDF|XML
2025 Q2 316232 BANCOLOMBIA CAPITAL LLC No NA PDF|XML
2025 Q2 316232 BANCOLOMBIA CAPITAL LLC YES - Disclosure PERSHING LLC PDF|XML
2025 Q2 173962 BANKERS LIFE SECURITIES, INC. YES - Disclosure PERSHING LLC PDF|XML
2025 Q2 70 BCG SECURITIES, INC. YES - Disclosure PERSHING LLC PDF|XML
2025 Q2 168047 BCI SECURITIES, INC. YES - Disclosure PERSHING LLC PDF|XML
2025 Q2 24771 BEECH HILL SECURITIES, INC. No NA PDF|XML
2025 Q2 24771 BEECH HILL SECURITIES, INC. YES - Disclosure PERSHING LLC PDF|XML
2025 Q2 29278 BELLE HAVEN INVESTMENTS, L.P. YES - Disclosure PERSHING LLC PDF|XML
2025 Q2 146936 BENJAMIN F. EDWARDS & COMPANY, INC. YES - Disclosure PERSHING LLC PDF|XML
2025 Q2 13609 BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC. No NA PDF|XML
2025 Q2 231 BNY MELLON SECURITIES CORPORATION YES - Disclosure PERSHING LLC PDF|XML
2025 Q2 17530 BOK FINANCIAL SECURITIES, INC. YES - Disclosure PERSHING LLC PDF|XML
2025 Q2 158599 BOREAL CAPITAL SECURITIES LLC YES - Disclosure PERSHING LLC PDF|XML
2025 Q2 159384 BRASIL PLURAL SECURITIES LLC YES - Disclosure PERSHING LLC PDF|XML
2025 Q2 1331 BROWN, LISLE/CUMMINGS, INC. No NA PDF|XML
2025 Q2 126291 CAPFINANCIAL SECURITIES, LLC. YES - Disclosure PERSHING LLC PDF|XML
2025 Q2 40657 CAPITAL INVESTMENT BROKERAGE, INC. YES - Disclosure PERSHING LLC PDF|XML
2025 Q2 14752 CAPITAL INVESTMENT GROUP, INC. YES - Disclosure PERSHING LLC PDF|XML
2025 Q2 44158 CAPITAL ONE SECURITIES, INC. YES - Disclosure PERSHING LLC PDF|XML
2025 Q2 44158 CAPITAL ONE SECURITIES, INC. No NA PDF|XML
2025 Q2 30833 CENTAURUS FINANCIAL, INC. YES - Disclosure PERSHING LLC PDF|XML
2025 Q2 10299 CETERA ADVISORS LLC No NA PDF|XML
2025 Q2 10358 CETERA FINANCIAL SPECIALISTS LLC No NA PDF|XML
2025 Q2 15340 CETERA INVESTMENT SERVICES LLC No NA PDF|XML
2025 Q2 13572 CETERA WEALTH SERVICES, LLC No NA PDF|XML
2025 Q2 25427 CFD INVESTMENTS, INC. No NA PDF|XML
2025 Q2 128711 CHICKASAW SECURITIES, LLC No NA PDF|XML
2025 Q2 166318 CHINA RENAISSANCE SECURITIES (US) INC. No NA PDF|XML
2025 Q2 39462 CHURCHILL FINANCIAL, LLC No NA PDF|XML
2025 Q2 22208 CITIZENS JMP SECURITIES, LLC No NA PDF|XML
2025 Q2 165533 CLSA AMERICAS, LLC No NA PDF|XML
2025 Q2 18466 CNR SECURITIES, LLC YES - Disclosure PERSHING LLC PDF|XML
2025 Q2 132078 COBRA TRADING, INC. YES - Disclosure WEDBUSH SECURITIES INC. PDF|XML