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 | ||
| 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 | ||
| 2025 | Q3 | 19418 | INTESA SANPAOLO IMI SECURITIES CORP. | No | NA | PDF|XML | |
| 2025 | Q3 | 6939 | INVESCO CAPITAL MARKETS, INC. | No | NA | ||
| 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 | ||
| 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 | ||
| 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 |