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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.
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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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| 2024 | Q2 | 124504 | GLEN EAGLE WEALTH, LLC | NO | NA | XML | PERSHING |
| 2024 | Q2 | 124504 | GLEN EAGLE WEALTH, LLC | NO | NA | PDF|XML | SPGLOBAL |
| 2024 | Q2 | 123649 | GLENDALE SECURITIES, INC. | NO | NA | PDF|XML | |
| 2024 | Q2 | 37505 | GLOBAL BROKERAGE SERVICES, INC. | YES - Disclosure | HILLTOP SECURITIES INC. | PDF|XML | |
| 2024 | Q2 | 35699 | GLOBAL FINANCIAL SERVICES, L.L.C. | YES - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | PDF|XML | OPTIONS |
| 2024 | Q2 | 35699 | GLOBAL FINANCIAL SERVICES, L.L.C. | YES - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | PDF|XML | |
| 2024 | Q2 | 35699 | GLOBAL FINANCIAL SERVICES, L.L.C. | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2024 | Q2 | 29721 | GLOBALINK SECURITIES, INC. | NO | NA | PDF|XML | |
| 2024 | Q2 | 361 | GOLDMAN SACHS & CO. LLC | NO | NA | PDF|XML | |
| 2024 | Q2 | 48015 | GOLDMAN SACHS CUSTODY SOLUTIONS | NO | NA | ||
| 2024 | Q2 | 7976 | GORDON, HASKETT CAPITAL CORPORATION | NO | NA | PDF|XML | |
| 2024 | Q2 | 127701 | GRADIENT SECURITIES, LLC | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | RBCWEALTHMANAGEMENT |
| 2024 | Q2 | 127701 | GRADIENT SECURITIES, LLC | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | RBCCLEARINGCUSTODY |
| 2024 | Q2 | 127701 | GRADIENT SECURITIES, LLC | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2024 | Q2 | 114203 | GREAT POINT CAPITAL LLC | NO | NA | PDF|XML | |
| 2024 | Q2 | 313305 | GREEN PIER FINTECH LLC | NO | NA | PDF|XML | |
| 2024 | Q2 | 132187 | GRIFFINEST ASIA SECURITIES, LLC | NO | NA | PDF|XML | |
| 2024 | Q2 | 1763 | GROVE POINT INVESTMENTS, LLC | NO | NA | ||
| 2024 | Q2 | 315499 | GTN AMERICAS FINANCIAL SERVICES | NO | NA | PDF|XML | |
| 2024 | Q2 | 40638 | GUGGENHEIM SECURITIES, LLC | NO | NA | PDF|XML | |
| 2024 | Q2 | 128929 | GWN SECURITIES INC. | NO | NA | ||
| 2024 | Q2 | 128929 | GWN SECURITIES INC. | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2024 | Q2 | 375 | H.C.WAINWRIGHT & CO., LLC | NO | NA | PDF|XML | |
| 2024 | Q2 | 46047 | HANTZ FINANCIAL SERVICES, INC. | YES - Disclosure | HILLTOP SECURITIES INC. | PDF|XML | |
| 2024 | Q2 | 19258 | HARBOUR INVESTMENTS, INC. | NO | NA | ||
| 2024 | Q2 | 396 | HAZLETT, BURT & WATSON, INC. | YES - Disclosure | NATIONAL FINANCIAL SERVICES LLC | PDF|XML | |
| 2024 | Q2 | 131453 | HENLEY & COMPANY LLC | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2024 | Q2 | 25766 | HENNION & WALSH, INC. | YES - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | PDF|XML | |
| 2024 | Q2 | 3420 | HERBERT J. SIMS & CO, INC. | NO | NA | PDF|XML | |
| 2024 | Q2 | 44971 | HERNDON PLANT OAKLEY, LTD. | YES - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | PDF|XML | |
| 2024 | Q2 | 30996 | HEROLD & LANTERN INVESTMENTS, INC. | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2024 | Q2 | 6220 | HILLTOP SECURITIES INC. | NO | NA | PDF|XML | |
| 2024 | Q2 | 46001 | HOLISTIC BROKERAGE, LLC | NO | NA | PDF|XML | |
| 2024 | Q2 | 11643 | HORACE MANN INVESTORS, INC. | NO | NA | PDF|XML | |
| 2024 | Q2 | 11643 | HORACE MANN INVESTORS, INC. | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2024 | Q2 | 25425 | HOVDE GROUP, LLC | NO | NA | XML | |
| 2024 | Q2 | 19585 | HSBC SECURITIES (USA) INC. | NO | NA | PDF|XML | |
| 2024 | Q2 | 298809 | HUATAI SECURITIES (USA), INC. | NO | NA | PDF|XML | |
| 2024 | Q2 | 30177 | HUNTER ASSOCIATES LLC | NO | NA | PDF|XML | |
| 2024 | Q2 | 30177 | HUNTER ASSOCIATES LLC | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2024 | Q2 | 7456 | HUNTLEIGH SECURITIES CORPORATION | YES - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | PDF|XML | |
| 2024 | Q2 | 106032 | IDB CAPITAL CORP. | NO | NA | PDF|XML | |
| 2024 | Q2 | 106032 | IDB CAPITAL CORP. | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2024 | Q2 | 301273 | IMC EXECUTION SERVICES | NO | NA | PDF|XML | |
| 2024 | Q2 | 43744 | IMPERIAL CAPITAL, LLC | NO | NA | PDF|XML | |
| 2024 | Q2 | 7717 | INDEPENDENT FINANCIAL GROUP, LLC | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2024 | Q2 | 131487 | INDUSTRIAL AND COMMERCIAL BANK OF CHINA FINANCIAL SERVICES LLC | NO | NA | ||
| 2024 | Q2 | 17053 | INSIGNEO INTERNATIONAL FINANCIAL SERVICES LLC | NO | NA | PDF|XML | |
| 2024 | Q2 | 17053 | INSIGNEO INTERNATIONAL FINANCIAL SERVICES LLC | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2024 | Q2 | 29249 | INSIGNEO SECURITIES, LLC | NO | NA | PDF|XML | |
| 2024 | Q2 | 29249 | INSIGNEO SECURITIES, LLC | NO | NA | PDF|XML | STONEX1 |
| 2024 | Q2 | 29249 | INSIGNEO SECURITIES, LLC | YES - Disclosure | STONEX FINANCIAL INC. | PDF|XML | |
| 2024 | Q2 | 29249 | INSIGNEO SECURITIES, LLC | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2024 | Q2 | 120343 | INTEGRAL FINANCIAL LLC | YES - Disclosure | HILLTOP SECURITIES INC. | XML |