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.
|
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.
|
|---|---|---|---|---|---|---|---|
| 2026 | Q3 | 32754 | BEACONS STRATEGIC CAPITAL, INC. | NO | NA | PDF|XML | |
| 2026 | Q3 | 10299 | CETERA ADVISORS LLC | NO | NA | PDF|XML | |
| 2026 | Q3 | 10358 | CETERA FINANCIAL SPECIALISTS LLC | NO | NA | PDF|XML | |
| 2026 | Q3 | 15340 | CETERA INVESTMENT SERVICES LLC | NO | NA | PDF|XML | |
| 2026 | Q3 | 13572 | CETERA WEALTH SERVICES, LLC | NO | NA | PDF|XML | |
| 2026 | Q3 | 159481 | FENIX SECURITIES, LLC | NO | NA | PDF|XML | |
| 2026 | Q3 | 3641 | FIRST COMMAND BROKERAGE SERVICES, INC. | NO | NA | PDF|XML | |
| 2026 | Q3 | 463 | JANNEY MONTGOMERY SCOTT LLC | NO | NA | PDF|XML | |
| 2026 | Q3 | 19524 | JOHNSON RICE & COMPANY L.L.C. | NO | NA | PDF|XML | |
| 2026 | Q3 | 481 | KEEFE, BRUYETTE & WOODS, INC. | NO | NA | PDF|XML | |
| 2026 | Q3 | 136300 | KEY INVESTMENT SERVICES LLC | NO | NA | PDF|XML | |
| 2026 | Q3 | 104158 | KOREA INVESTMENT & SECURITIES AMERICA, INC. | NO | NA | PDF|XML | |
| 2026 | Q3 | 43706 | LAMPOST CAPITAL, L.C. | NO | NA | PDF|XML | |
| 2026 | Q3 | 43098 | LOOP CAPITAL MARKETS LLC | NO | NA | PDF|XML | |
| 2026 | Q3 | 309574 | MONDEUM CAPITAL | NO | NA | PDF|XML | |
| 2026 | Q3 | 39455 | NATALLIANCE SECURITIES, LLC | NO | NA | PDF|XML | |
| 2026 | Q3 | 281065 | OUTSET GLOBAL TRADING LIMITED | NO | NA | ||
| 2026 | Q3 | 32889 | PRIME EXECUTIONS, INC. | NO | NA | PDF|XML | |
| 2026 | Q3 | 21606 | RICE FINANCIAL PRODUCTS COMPANY | NO | NA | ||
| 2026 | Q3 | 19456 | ROBERTS & RYAN, INC. | NO | NA | ||
| 2026 | Q3 | 13251 | ROBOTTI SECURITIES, LLC | NO | NA | ||
| 2026 | Q3 | 115547 | SAXONY SECURITIES, INC. | NO | NA | PDF|XML | |
| 2026 | Q3 | 26001 | TOCQUEVILLE SECURITIES L.P. | NO | NA | PDF|XML | |
| 2026 | Q3 | 130030 | TRADEMAS INC. | NO | NA | PDF|XML | |
| 2026 | Q3 | 39914 | WESTPARK CAPITAL, INC. | NO | NA | PDF|XML | |
| 2026 | Q2 | 3767 | &PARTNERS | NO | NA | PDF|XML | NFS |
| 2026 | Q2 | 3767 | &PARTNERS | YES - Disclosure | NATIONAL FINANCIAL SERVICES LLC | PDF|XML | |
| 2026 | Q2 | 39164 | 1ST DISCOUNT BROKERAGE, INC. | YES - Disclosure | APEX CLEARING CORPORATION | PDF|XML | |
| 2026 | Q2 | 8361 | A.G.P. / ALLIANCE GLOBAL PARTNERS | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2026 | Q2 | 8361 | A.G.P. / ALLIANCE GLOBAL PARTNERS | NO | NA | PDF|XML | |
| 2026 | Q2 | 8361 | A.G.P. / ALLIANCE GLOBAL PARTNERS | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | RBCWEALTHMANAGEMENT |
| 2026 | Q2 | 8361 | A.G.P. / ALLIANCE GLOBAL PARTNERS | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | RBCCLEARINGCUSTODY |
| 2026 | Q2 | 8361 | A.G.P. / ALLIANCE GLOBAL PARTNERS | YES - Disclosure | NATIONAL FINANCIAL SERVICES LLC | PDF|XML | |
| 2026 | Q2 | 35127 | ABACUS INVESTMENTS, INC. | YES - Disclosure | HILLTOP SECURITIES INC. | PDF|XML | |
| 2026 | Q2 | 30605 | ABG SUNDAL COLLIER INC. | YES - Disclosure | AXOS CLEARING LLC | PDF|XML | |
| 2026 | Q2 | 14020 | ABN AMRO CLEARING USA LLC | NO | NA | PDF|XML | |
| 2026 | Q2 | 317903 | AC SUNSHINE SECURITIES LLC | YES - Disclosure | VELOX CLEARING LLC | PDF|XML | |
| 2026 | Q2 | 317903 | AC SUNSHINE SECURITIES LLC | YES - Disclosure | CURVATURE SECURITIES LLC | PDF|XML | |
| 2026 | Q2 | 17433 | ACADEMY SECURITIES, INC. | NO | NA | PDF|XML | |
| 2026 | Q2 | 41768 | ACE DIVERSIFIED CAPITAL, INC. | YES - Disclosure | WEDBUSH SECURITIES INC. | 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 | AXOS CLEARING LLC | PDF|XML | |
| 2026 | Q2 | 15007 | AEGIS CAPITAL CORP. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2026 | Q2 | 15007 | AEGIS CAPITAL CORP. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | RBCWEALTHMANAGEMENT |
| 2026 | Q2 | 15007 | AEGIS CAPITAL CORP. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | RBCCLEARINGCUSTODY |
| 2026 | Q2 | 15007 | AEGIS CAPITAL CORP. | NO | NA | ||
| 2026 | Q2 | 15007 | AEGIS CAPITAL CORP. | NO | NA | PDF|XML | AGCP |
| 2026 | Q2 | 26193 | ALAMO CAPITAL | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2026 | Q2 | 26193 | ALAMO CAPITAL | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | RBCWEALTHMANAGEMENT |
| 2026 | Q2 | 26193 | ALAMO CAPITAL | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | RBCCLEARINGCUSTODY |
| 2026 | Q2 | 40077 | ALEXANDER CAPITAL, L.P. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2026 | Q2 | 40077 | ALEXANDER CAPITAL, L.P. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | RBCWEALTHMANAGEMENT |