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.
|
Calendar year for which a firm submits an SEC Rule 606(a) report.
|
Calendar quarter for which a firm submits an SEC Rule 606(a) report.
|
CRD of the firm submitting the SEC Rule 606(a) report or adopting a clearing firm's report.
|
Name of the firm submitting the SEC Rule 606(a) report or adopting a clearing firm's report.
|
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.
|
Provides the name of the clearing firm whose report the member identified in the “Firm” field is adopting by reference.
|
606(a) Report
Link to download the SEC Rule 606(a) report in a PDF or XML format.
|
A free form field used by firms to provide additional information in connection with the submission of SEC Rule 606(a) reports.
|
|---|---|---|---|---|---|---|---|
| 2026 | Q1 | 7297 | REGAL SECURITIES, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | ||
| 2026 | Q1 | 14178 | REVERE SECURITIES LLC | NO | NA | PDF|XML | |
| 2026 | Q1 | 21606 | RICE FINANCIAL PRODUCTS COMPANY | NO | NA | ||
| 2026 | Q1 | 30812 | RIEDL FIRST SECURITIES COMPANY OF KANSAS | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2026 | Q1 | 8158 | ROBERT W. BAIRD & CO. INCORPORATED | NO | NA | PDF|XML | |
| 2026 | Q1 | 19456 | ROBERTS & RYAN, INC. | NO | NA | ||
| 2026 | Q1 | 13251 | ROBOTTI SECURITIES, LLC | NO | NA | ||
| 2026 | Q1 | 291361 | ROCKEFELLER FINANCIAL LLC | NO | NA | PDF|XML | |
| 2026 | Q1 | 290605 | SAN BLAS SECURITIES LLC | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2026 | Q1 | 205 | SANCTUARY SECURITIES, INC. | NO | NA | PDF|XML | |
| 2026 | Q1 | 41791 | SANTANDER SECURITIES LLC | NO | NA | PDF|XML | |
| 2026 | Q1 | 150696 | SANTANDER US CAPITAL MARKETS LLC | NO | NA | PDF|XML | |
| 2026 | Q1 | 115547 | SAXONY SECURITIES, INC. | NO | NA | PDF|XML | |
| 2026 | Q1 | 315218 | SEMINARIO SECURITIES | NO | NA | PDF|XML | MPID |
| 2026 | Q1 | 14303 | SIGMA FINANCIAL CORPORATION | NO | NA | PDF|XML | |
| 2026 | Q1 | 28602 | SMBC NIKKO SECURITIES AMERICA, INC. | NO | NA | PDF|XML | |
| 2026 | Q1 | 3441 | SMITH, MOORE & CO. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2026 | Q1 | 149794 | SNOWDEN ACCOUNT SERVICES LLC | NO | NA | PDF|XML | |
| 2026 | Q1 | 107403 | SPEEDTRADER, INC | NO | NA | PDF|XML | |
| 2026 | Q1 | 35878 | SPROTT GLOBAL RESOURCE INVESTMENTS LTD | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2026 | Q1 | 43036 | STATE FARM VP MANAGEMENT CORP. | NO | NA | PDF|XML | |
| 2026 | Q1 | 42180 | SUNBELT SECURITIES, INC. | NO | NA | PDF|XML | |
| 2026 | Q1 | 14023 | SYNOVUS SECURITIES, INC. | NO | NA | PDF|XML | |
| 2026 | Q1 | 8348 | T. ROWE PRICE INVESTMENT SERVICES, INC. | NO | NA | PDF|XML | |
| 2026 | Q1 | 164153 | TCFG WEALTH MANAGEMENT, LLC | NO | NA | PDF|XML | |
| 2026 | Q1 | 164484 | TD PRIVATE CLIENT WEALTH LLC | NO | NA | PDF|XML | |
| 2026 | Q1 | 18476 | TD SECURITIES (USA) LLC | NO | NA | ||
| 2026 | Q1 | 16986 | THE HUNTINGTON INVESTMENT COMPANY | NO | NA | PDF|XML | |
| 2026 | Q1 | 41282 | THE JEFFREY MATTHEWS FINANCIAL GROUP, L.L.C. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2026 | Q1 | 2936 | THE O.N. EQUITY SALES COMPANY | NO | NA | PDF|XML | |
| 2026 | Q1 | 42941 | THE OAK RIDGE FINANCIAL SERVICES GROUP, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2026 | Q1 | 120116 | THEMIS TRADING LLC | NO | NA | PDF|XML | |
| 2026 | Q1 | 300679 | THINK ALPHA SECURITIES, LLC | NO | NA | PDF|XML | |
| 2026 | Q1 | 20996 | THINKEQUITY LLC | NO | NA | PDF|XML | |
| 2026 | Q1 | 41353 | THOMPSON DAVIS & CO., INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2026 | Q1 | 18387 | THRIVENT INVESTMENT MANAGEMENT INC. | NO | NA | PDF|XML | |
| 2026 | Q1 | 20472 | TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC | NO | NA | PDF|XML | |
| 2026 | Q1 | 154717 | TIGRESS FINANCIAL PARTNERS, LLC | NO | NA | PDF|XML | |
| 2026 | Q1 | 128605 | TRADINGBLOCK | YES - Disclosure | THINKEQUITY LLC | PDF|XML | |
| 2026 | Q1 | 41258 | TRIDENT PARTNERS LTD. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2026 | Q1 | 17499 | TRUIST INVESTMENT SERVICES, INC. | NO | NA | PDF|XML | |
| 2026 | Q1 | 14455 | U.S. BANCORP ADVISORS, LLC | NO | NA | PDF|XML | |
| 2026 | Q1 | 17868 | U.S. BANCORP INVESTMENTS, INC. | NO | NA | PDF|XML | |
| 2026 | Q1 | 8174 | UBS FINANCIAL SERVICES INC. | NO | NA | PDF|XML | |
| 2026 | Q1 | 42854 | UHLMANN PRICE SECURITIES, LLC | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2026 | Q1 | 17073 | UMB FINANCIAL SERVICES, INC. | NO | NA | PDF|XML | |
| 2026 | Q1 | 20804 | UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER | NO | NA | PDF|XML | |
| 2026 | Q1 | 42803 | VALIC FINANCIAL ADVISORS, INC. | NO | NA | PDF|XML | INFO |
| 2026 | Q1 | 6914 | VAN CLEMENS & CO. INCORPORATED | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2026 | Q1 | 126292 | WELLS FARGO SECURITIES, LLC | NO | NA | PDF|XML | |
| 2026 | Q1 | 39914 | WESTPARK CAPITAL, INC. | NO | NA | PDF|XML | |
| 2026 | Q1 | 104123 | WHITE MOUNTAIN CAPITAL, LLC | NO | NA | PDF|XML | |
| 2026 | Q1 | 133839 | WILMINGTON CAPITAL SECURITIES, LLC | YES - Disclosure | RBC CAPITAL MARKETS, LLC | XML |