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 | Q3 | 166318 | CR GLOBAL MARKETS INC. | NO | NA | ||
| 2026 | Q3 | 171350 | CRAFT CAPITAL MANAGEMENT LLC | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2026 | Q3 | 121395 | CRAIG-HALLUM CAPITAL GROUP LLC | NO | NA | PDF|XML | |
| 2026 | Q3 | 38964 | CREAND SECURITIES | NO | NA | PDF|XML | |
| 2026 | Q3 | 18266 | CULLEN INVESTMENT GROUP, LTD. | YES - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | PDF|XML | |
| 2026 | Q3 | 22449 | CUTTER & COMPANY, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2026 | Q3 | 10386 | D. B. MCKENNA & CO., INC. | YES - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | PDF|XML | |
| 2026 | Q3 | 199 | D.A. DAVIDSON & CO. | NO | NA | PDF|XML | |
| 2026 | Q3 | 1576 | DAIWA CAPITAL MARKETS AMERICA INC. | NO | NA | PDF|XML | |
| 2026 | Q3 | 104031 | DASH FINANCIAL TECHNOLOGIES LLC | NO | NA | PDF|XML | |
| 2026 | Q3 | 41257 | DASH PRIME LLC | YES - Disclosure | DASH FINANCIAL TECHNOLOGIES LLC | PDF|XML | |
| 2026 | Q3 | 5397 | DAVID LERNER ASSOCIATES, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2026 | Q3 | 130645 | DAWSON JAMES SECURITIES, INC. | NO | NA | PDF|XML | |
| 2026 | Q3 | 308213 | DIGITAL BROKERAGE SERVICES LLC | NO | NA | PDF|XML | |
| 2026 | Q3 | 1660 | DOFT & CO., INC. | NO | NA | PDF|XML | |
| 2026 | Q3 | 18975 | DOMINARI SECURITIES LLC | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2026 | Q3 | 2950 | DORN & CO., INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2026 | Q3 | 143007 | EMPIRE ASSET MANAGEMENT COMPANY | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2026 | Q3 | 13109 | EMPOWER FINANCIAL SERVICES, INC. | NO | NA | PDF|XML | PERSHING7560GWFS |
| 2026 | Q3 | 145276 | ETC BROKERAGE SERVICES, LLC | NO | NA | PDF|XML | |
| 2026 | Q3 | 5309 | FBL MARKETING SERVICES, LLC | YES | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2026 | Q3 | 6905 | FELTL & COMPANY | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2026 | Q3 | 159481 | FENIX SECURITIES, LLC | NO | NA | PDF|XML | |
| 2026 | Q3 | 47768 | FERRETTI GROUP, INC. | NO | NA | PDF|XML | |
| 2026 | Q3 | 628 | FIFTH THIRD SECURITIES, INC. | NO | NA | PDF|XML | OHIO |
| 2026 | Q3 | 628 | FIFTH THIRD SECURITIES, INC. | NO | NA | PDF|XML | FTSR |
| 2026 | Q3 | 44430 | FIRST CITIZENS INVESTOR SERVICES, INC. | NO | NA | PDF|XML | |
| 2026 | Q3 | 3641 | FIRST COMMAND BROKERAGE SERVICES, INC. | NO | NA | PDF|XML | |
| 2026 | Q3 | 32460 | FIRST HEARTLAND CAPITAL, INC. | NO | NA | PDF|XML | |
| 2026 | Q3 | 7524 | FIRST KENTUCKY SECURITIES CORPORATION | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2026 | Q3 | 38105 | FMN CAPITAL CORPORATION | NO | NA | PDF|XML | |
| 2026 | Q3 | 17465 | FROST BROKERAGE SERVICES, INC. | NO | NA | PDF|XML | |
| 2026 | Q3 | 17486 | G. A. REPPLE & COMPANY | NO | NA | PDF|XML | |
| 2026 | Q3 | 103727 | GAGNON SECURITIES, LLC | NO | NA | PDF|XML | S3 |
| 2026 | Q3 | 103727 | GAGNON SECURITIES, LLC | NO | NA | PDF|XML | NFS |
| 2026 | Q3 | 298341 | GAMMA SECURITIES, LLC | NO | NA | PDF|XML | |
| 2026 | Q3 | 120894 | GENEOS WEALTH MANAGEMENT, INC. | NO | NA | PDF|XML | |
| 2026 | Q3 | 35699 | GLOBAL FINANCIAL SERVICES, L.L.C. | YES - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | PDF|XML | |
| 2026 | Q3 | 7976 | GORDON, HASKETT CAPITAL CORPORATION | NO | NA | PDF|XML | |
| 2026 | Q3 | 127701 | GRADIENT SECURITIES, LLC | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2026 | Q3 | 7294 | GREGORY J. SCHWARTZ & CO., INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2026 | Q3 | 132187 | GRIFFINEST ASIA SECURITIES, LLC | NO | NA | PDF|XML | |
| 2026 | Q3 | 128929 | GWN SECURITIES INC. | NO | NA | ||
| 2026 | Q3 | 19258 | HARBOUR INVESTMENTS, INC. | NO | NA | ||
| 2026 | Q3 | 298809 | HUATAI SECURITIES (USA), INC. | NO | NA | PDF|XML | |
| 2026 | Q3 | 30177 | HUNTER ASSOCIATES LLC | NO | NA | PDF|XML | |
| 2026 | Q3 | 106032 | IDB CAPITAL CORP. | NO | NA | PDF|XML | |
| 2026 | Q3 | 144302 | INFINITY FINANCIAL SERVICES | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2026 | Q3 | 29249 | INSIGNEO SECURITIES, LLC | NO | NA | PDF|XML | |
| 2026 | Q3 | 139627 | INTEGRITY ALLIANCE, LLC. | NO | NA | PDF|XML | |
| 2026 | Q3 | 10645 | INTERNATIONAL ASSETS ADVISORY, LLC | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2026 | Q3 | 19418 | INTESA SANPAOLO IMI SECURITIES CORP. | NO | NA | XML |