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

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

Date Submitted
Displaying 1 - 6 of 6 Glossary
Year Quarter Firm CRD Firm Order Routing / Clearing Firm Date Submitted Sort ascending Report Type Context
2024 Q2 126292 WELLS FARGO SECURITIES, LLC Self 07/31/2024 PDF
2024 Q2 126292 WELLS FARGO SECURITIES, LLC Self 07/31/2024 XML
2024 Q2 19616 WELLS FARGO CLEARING SERVICES, LLC Self 07/23/2024 XML
2024 Q2 11025 WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC - Disclosure WELLS FARGO CLEARING SERVICES, LLC 07/23/2024 PDF
2024 Q2 11025 WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC - Disclosure WELLS FARGO CLEARING SERVICES, LLC 07/23/2024 XML
2024 Q2 19616 WELLS FARGO CLEARING SERVICES, LLC Self 07/23/2024 PDF