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 1401 - 1500 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 | Q2 | 36644 | PRIVATE PORTFOLIO, INC. | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2025 | Q2 | 10740 | PROSPERA FINANCIAL SERVICES, INC. | YES - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | PDF|XML | |
| 2025 | Q2 | 304587 | PUENTE SERVICIOS FINANCIEROS LLC | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2025 | Q2 | 146744 | PUMA CAPITAL, LLC | No | NA | PUMX | |
| 2025 | Q2 | 35747 | PURSHE KAPLAN STERLING INVESTMENTS | No | NA | PDF|XML | |
| 2025 | Q2 | 321974 | PWA SECURITIES, LLC | YES - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | PDF|XML | EQUITY |
| 2025 | Q2 | 321974 | PWA SECURITIES, LLC | YES - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | PDF|XML | OPTIONS |
| 2025 | Q2 | 153906 | QUANTRIVER FINANCIAL, LLC | YES - Disclosure | INTERACTIVE BROKERS LLC | PDF|XML | |
| 2025 | Q2 | 2498 | R. F. LAFFERTY & CO., INC. | No | NA | PDF|XML | |
| 2025 | Q2 | 14974 | R. SEELAUS & CO., LLC | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2025 | Q2 | 7612 | R.M. STARK & CO., INC. | No | PERSHING LLC | PDF|XML | |
| 2025 | Q2 | 26460 | R.W.PRESSPRICH & CO. | No | NA | PDF|XML | |
| 2025 | Q2 | 705 | RAYMOND JAMES & ASSOCIATES, INC. | No | NA | PDF|XML | OPTIONS |
| 2025 | Q2 | 705 | RAYMOND JAMES & ASSOCIATES, INC. | No | NA | PDF|XML | EQUITY |
| 2025 | Q2 | 25853 | RAYMOND JAMES (USA) LTD. | No | NA | PDF|XML | |
| 2025 | Q2 | 25853 | RAYMOND JAMES (USA) LTD. | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2025 | Q2 | 6694 | RAYMOND JAMES FINANCIAL SERVICES, INC. | YES - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | PDF|XML | EQUITY |
| 2025 | Q2 | 6694 | RAYMOND JAMES FINANCIAL SERVICES, INC. | YES - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | PDF|XML | OPTIONS |
| 2025 | Q2 | 31194 | RBC CAPITAL MARKETS, LLC | No | NA | PDF|XML | RBCWEALTHMANAGEMENT |
| 2025 | Q2 | 31194 | RBC CAPITAL MARKETS, LLC | No | NA | PDF|XML | |
| 2025 | Q2 | 31194 | RBC CAPITAL MARKETS, LLC | No | NA | PDF|XML | RBCCLEARINGCUSTODY |
| 2025 | Q2 | 15548 | RCM SECURITIES | YES - Disclosure | INTERACTIVE BROKERS LLC | PDF|XML | |
| 2025 | Q2 | 15548 | RCM SECURITIES | No | NA | ||
| 2025 | Q2 | 23769 | REALTA EQUITIES, INC. | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2025 | Q2 | 23769 | REALTA EQUITIES, INC. | YES - Disclosure | AXOS CLEARING LLC | PDF|XML | |
| 2025 | Q2 | 287912 | REDBRIDGE SECURITIES LLC | YES - Disclosure | APEX CLEARING CORPORATION | PDF|XML | |
| 2025 | Q2 | 7297 | REGAL SECURITIES, INC. | No | NA | PDF|XML | |
| 2025 | Q2 | 7297 | REGAL SECURITIES, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2025 | Q2 | 7297 | REGAL SECURITIES, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | RBCCLEARINGCUSTODY |
| 2025 | Q2 | 7297 | REGAL SECURITIES, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | RBCWEALTHMANAGEMENT |
| 2025 | Q2 | 30568 | REGISTER FINANCIAL ASSOCIATES, INC. | YES - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | PDF|XML | |
| 2025 | Q2 | 163927 | RENAISSANCE MACRO SECURITIES, LLC | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2025 | Q2 | 163927 | RENAISSANCE MACRO SECURITIES, LLC | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | RBCWEALTHMANAGEMENT |
| 2025 | Q2 | 163927 | RENAISSANCE MACRO SECURITIES, LLC | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | RBCCLEARINGCUSTODY |
| 2025 | Q2 | 14178 | REVERE SECURITIES LLC | No | NA | PDF|XML | |
| 2025 | Q2 | 19610 | RHODES SECURITIES, INC. | YES - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | PDF|XML | |
| 2025 | Q2 | 21606 | RICE FINANCIAL PRODUCTS COMPANY | No | NA | ||
| 2025 | Q2 | 713 | RICHARDS MERRILL WEALTH MANAGEMENT | YES - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | PDF|XML | |
| 2025 | Q2 | 30812 | RIEDL FIRST SECURITIES COMPANY OF KANSAS | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2025 | Q2 | 30812 | RIEDL FIRST SECURITIES COMPANY OF KANSAS | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | RBCCLEARINGCUSTODY |
| 2025 | Q2 | 30812 | RIEDL FIRST SECURITIES COMPANY OF KANSAS | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | RBCWEALTHMANAGEMENT |
| 2025 | Q2 | 8158 | ROBERT W. BAIRD & CO. INCORPORATED | No | NA | PDF|XML | |
| 2025 | Q2 | 19456 | ROBERTS & RYAN, INC. | No | NA | ||
| 2025 | Q2 | 165998 | ROBINHOOD FINANCIAL, LLC | No | NA | PDF|XML | |
| 2025 | Q2 | 287900 | ROBINHOOD SECURITIES, LLC | No | NA | PDF|XML | |
| 2025 | Q2 | 13251 | ROBOTTI SECURITIES, LLC | No | NA | ||
| 2025 | Q2 | 291361 | ROCKEFELLER FINANCIAL LLC | No | NA | PDF|XML | |
| 2025 | Q2 | 3215 | ROMANO BROTHERS AND COMPANY | YES - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | PDF|XML | |
| 2025 | Q2 | 15407 | ROTH CAPITAL PARTNERS, LLC | No | NA | PDF|XML | |
| 2025 | Q2 | 140564 | ROTHSCHILD & CO REDBURN | No | NA | XML | |
| 2025 | Q2 | 728 | ROTHSCHILD INVESTMENT LLC | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2025 | Q2 | 134284 | RQD* CLEARING, LLC | No | NA | PDF|XML | |
| 2025 | Q2 | 40744 | S.L. REED & COMPANY | YES - Disclosure | NATIONAL FINANCIAL SERVICES LLC | PDF|XML |