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 | 6939 | INVESCO CAPITAL MARKETS, INC. | NO | NA | ||
| 2026 | Q3 | 118817 | ITAU BBA USA SECURITIES, INC. | NO | NA | ||
| 2026 | Q3 | 3998 | JACK V. BUTTERFIELD INVESTMENT COMPANY | YES - Disclosure | RBC CAPITAL MARKETS, LLC | 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 | 24795 | JOSEPH GUNNAR & CO. LLC | YES | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2026 | Q3 | 24795 | JOSEPH GUNNAR & CO. LLC | NO | NA | PDF|XML | |
| 2026 | Q3 | 481 | KEEFE, BRUYETTE & WOODS, INC. | NO | NA | PDF|XML | |
| 2026 | Q3 | 139148 | KEPLER CAPITAL MARKETS, INC. | NO | NA | PDF|XML | |
| 2026 | Q3 | 42046 | KESTRA INVESTMENT SERVICES, LLC | NO | NA | PDF|XML | |
| 2026 | Q3 | 136300 | KEY INVESTMENT SERVICES LLC | NO | NA | PDF|XML | |
| 2026 | Q3 | 566 | KEYBANC CAPITAL MARKETS INC. | NO | NA | PDF|XML | |
| 2026 | Q3 | 288898 | KINGSWOOD CAPITAL PARTNERS, LLC | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2026 | Q3 | 288898 | KINGSWOOD CAPITAL PARTNERS, LLC | YES - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | PDF|XML | |
| 2026 | Q3 | 104158 | KOREA INVESTMENT & SECURITIES AMERICA, INC. | NO | NA | PDF|XML | |
| 2026 | Q3 | 27913 | L.M. KOHN & COMPANY | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2026 | Q3 | 43706 | LAMPOST CAPITAL, L.C. | NO | NA | PDF|XML | |
| 2026 | Q3 | 17870 | LANARK FINANCIAL, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2026 | Q3 | 28352 | LANDOLT SECURITIES, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2026 | Q3 | 7191 | LASALLE ST SECURITIES, L.L.C. | NO | NA | PDF|XML | |
| 2026 | Q3 | 137988 | LEBENTHAL FINANCIAL SERVICES, INC. | YES - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | PDF|XML | |
| 2026 | Q3 | 18234 | LEMLEY, YARLING & CO. | YES | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2026 | Q3 | 25700 | LEVEL FOUR FINANCIAL, LLC | YES - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | PDF|XML | |
| 2026 | Q3 | 168404 | LIFESCI CAPITAL | NO | NA | ||
| 2026 | Q3 | 43098 | LOOP CAPITAL MARKETS LLC | NO | NA | PDF|XML | |
| 2026 | Q3 | 104100 | M. S. HOWELLS & CO. | NO | NA | PDF|XML | |
| 2026 | Q3 | 285406 | MADISON GLOBAL PARTNERS LLC | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2026 | Q3 | 38455 | MATRIX EXECUTIONS, LLC | NO | NA | PDF|XML | |
| 2026 | Q3 | 135414 | MCDONALD PARTNERS LLC | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2026 | Q3 | 140988 | MD GLOBAL PARTNERS, LLC | YES | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2026 | Q3 | 143189 | MEDIOBANCA SECURITIES USA LLC | NO | NA | PDF|XML | |
| 2026 | Q3 | 21544 | MIDDLEGATE SECURITIES INC. | NO | NA | PDF|XML | |
| 2026 | Q3 | 101080 | MIDWESTERN SECURITIES TRADING COMPANY, LLC | NO | NA | PDF|XML | |
| 2026 | Q3 | 37818 | MISCHLER FINANCIAL GROUP, INC. | NO | NA | PDF|XML | |
| 2026 | Q3 | 19647 | MIZUHO SECURITIES USA LLC | NO | NA | PDF|XML | |
| 2026 | Q3 | 10409 | MML INVESTORS SERVICES, LLC | NO | NA | PDF|XML | |
| 2026 | Q3 | 38535 | MOLONEY SECURITIES CO., INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2026 | Q3 | 309574 | MONDEUM CAPITAL | NO | NA | PDF|XML | |
| 2026 | Q3 | 30362 | MONEX SECURITIES, INC. | NO | NA | PDF|XML | |
| 2026 | Q3 | 594 | MOORS & CABOT, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2026 | Q3 | 44807 | MORGAN WILSHIRE SECURITIES, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2026 | Q3 | 154327 | MSEC, LLC | NO | NA | PDF|XML | |
| 2026 | Q3 | 19685 | MUFG SECURITIES AMERICAS INC. | NO | NA | PDF|XML | |
| 2026 | Q3 | 13092 | MUTUAL SECURITIES, INC. | NO | NA | PDF|XML | |
| 2026 | Q3 | 112630 | MWA FINANCIAL SERVICES INC. | NO | NA | PDF|XML | |
| 2026 | Q3 | 39455 | NATALLIANCE SECURITIES, LLC | NO | NA | PDF|XML | |
| 2026 | Q3 | 31029 | NATIONWIDE PLANNING ASSOCIATES INC. | NO | NA | ||
| 2026 | Q3 | 2908 | NEUBERGER BERMAN BD LLC | NO | NA | PDF|XML | |
| 2026 | Q3 | 15768 | NOBLE CAPITAL MARKETS, INC. | NO | NA | PDF|XML | |
| 2026 | Q3 | 40258 | NORTHLAND SECURITIES, INC. | NO | NA | PDF|XML | |
| 2026 | Q3 | 5167 | NYLIFE SECURITIES LLC | NO | NA | PDF|XML | |
| 2026 | Q3 | 21000 | OAKWOOD CAPITAL SECURITIES, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML |