NMS Equity and Option Order Routing Reports (SEC Rule 606(a) Reports)
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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 8607
Glossary
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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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| 2025 | Q3 | 17433 | ACADEMY SECURITIES, INC. | No | NA | PDF|XML | |
| 2025 | Q3 | 1042 | ALLEN & COMPANY LLC | No | NA | PDF|XML | |
| 2025 | Q3 | 165533 | CLSA AMERICAS, LLC | No | NA | PDF|XML | |
| 2025 | Q3 | 24746 | DOWLING & PARTNERS SECURITIES LLC | No | NA | PDF|XML | |
| 2025 | Q3 | 159481 | FENIX SECURITIES, LLC | No | NA | PDF|XML | |
| 2025 | Q3 | 3641 | FIRST COMMAND BROKERAGE SERVICES, INC. | No | NA | PDF|XML | |
| 2025 | Q3 | 375 | H.C.WAINWRIGHT & CO., LLC | No | NA | PDF|XML | |
| 2025 | Q3 | 6939 | INVESCO CAPITAL MARKETS, INC. | No | NA | ||
| 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 | 43706 | LAMPOST CAPITAL, L.C. | No | NA | PDF|XML | |
| 2025 | Q3 | 7191 | LASALLE ST SECURITIES, L.L.C. | No | NA | ||
| 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 | 19685 | MUFG SECURITIES AMERICAS INC. | No | NA | PDF|XML | |
| 2025 | Q3 | 39455 | NATALLIANCE SECURITIES, LLC | No | NA | PDF|XML | |
| 2025 | Q3 | 32889 | PRIME EXECUTIONS, INC. | No | NA | PDF|XML | |
| 2025 | Q3 | 21606 | RICE FINANCIAL PRODUCTS COMPANY | No | NA | ||
| 2025 | Q3 | 115547 | SAXONY SECURITIES, INC. | No | NA | PDF|XML | |
| 2025 | Q3 | 8330 | SEAPORT SECURITIES CORP. | No | NA | XML | |
| 2025 | Q3 | 300679 | THINK ALPHA SECURITIES, LLC | No | NA | PDF|XML | |
| 2025 | Q3 | 20996 | THINKEQUITY LLC | No | NA | PDF|XML | |
| 2025 | Q3 | 26001 | TOCQUEVILLE SECURITIES L.P. | No | NA | PDF|XML | |
| 2025 | Q3 | 128605 | TRADINGBLOCK | YES - Disclosure | THINKEQUITY LLC | PDF|XML | |
| 2025 | Q3 | 6271 | TRUIST SECURITIES, INC. | No | NA | PDF|XML | |
| 2025 | Q3 | 39914 | WESTPARK CAPITAL, INC. | No | NA | PDF|XML | |
| 2025 | Q2 | 3767 | &PARTNERS | No | NA | PDF|XML | NFS |
| 2025 | Q2 | 3767 | &PARTNERS | YES - Disclosure | NATIONAL FINANCIAL SERVICES LLC | PDF|XML | |
| 2025 | Q2 | 8361 | A.G.P. / ALLIANCE GLOBAL PARTNERS | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | RBCWEALTHMANAGEMENT |
| 2025 | Q2 | 8361 | A.G.P. / ALLIANCE GLOBAL PARTNERS | YES - Disclosure | NATIONAL FINANCIAL SERVICES LLC | PDF|XML | |
| 2025 | Q2 | 8361 | A.G.P. / ALLIANCE GLOBAL PARTNERS | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2025 | Q2 | 8361 | A.G.P. / ALLIANCE GLOBAL PARTNERS | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | RBCCLEARINGCUSTODY |
| 2025 | Q2 | 8361 | A.G.P. / ALLIANCE GLOBAL PARTNERS | No | NA | PDF|XML | |
| 2025 | Q2 | 35127 | ABACUS INVESTMENTS, INC. | YES - Disclosure | HILLTOP SECURITIES INC. | PDF|XML | |
| 2025 | Q2 | 14020 | ABN AMRO CLEARING USA LLC | No | NA | PDF|XML | |
| 2025 | Q2 | 317903 | AC SUNSHINE SECURITIES LLC | YES - Disclosure | VELOX CLEARING LLC | PDF|XML | |
| 2025 | Q2 | 317903 | AC SUNSHINE SECURITIES LLC | YES - Disclosure | CURVATURE SECURITIES LLC | PDF|XML | |
| 2025 | Q2 | 17433 | ACADEMY SECURITIES, INC. | No | NA | PDF|XML | |
| 2025 | Q2 | 41768 | ACE DIVERSIFIED CAPITAL, INC. | YES - Disclosure | WEDBUSH SECURITIES INC. | PDF|XML | |
| 2025 | Q2 | 139049 | ACP SECURITIES, LLC | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2025 | Q2 | 15007 | AEGIS CAPITAL CORP. | YES - Disclosure | AXOS CLEARING LLC | PDF|XML | |
| 2025 | Q2 | 15007 | AEGIS CAPITAL CORP. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | RBCWEALTHMANAGEMENT |
| 2025 | Q2 | 15007 | AEGIS CAPITAL CORP. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | RBCCLEARINGCUSTODY |
| 2025 | Q2 | 15007 | AEGIS CAPITAL CORP. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2025 | Q2 | 26193 | ALAMO CAPITAL | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2025 | Q2 | 26193 | ALAMO CAPITAL | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | RBCCLEARINGCUSTODY |
| 2025 | Q2 | 26193 | ALAMO CAPITAL | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | RBCWEALTHMANAGEMENT |
| 2025 | Q2 | 40077 | ALEXANDER CAPITAL, L.P. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | RBCCLEARINGCUSTODY |
| 2025 | Q2 | 40077 | ALEXANDER CAPITAL, L.P. | YES - Disclosure | VELOCITY CLEARING, LLC | PDF|XML | |
| 2025 | Q2 | 40077 | ALEXANDER CAPITAL, L.P. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2025 | Q2 | 40077 | ALEXANDER CAPITAL, L.P. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | RBCWEALTHMANAGEMENT |