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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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| 2026 | Q3 | 10358 | CETERA FINANCIAL SPECIALISTS LLC | NO | NA | XML | |
| 2026 | Q3 | 15340 | CETERA INVESTMENT SERVICES LLC | NO | NA | PDF|XML | |
| 2026 | Q3 | 13572 | CETERA WEALTH SERVICES, LLC | NO | NA | PDF|XML | |
| 2026 | Q3 | 25427 | CFD INVESTMENTS, INC. | NO | NA | PDF|XML | |
| 2026 | Q3 | 155984 | CGIS SECURITIES LLC | NO | NA | PDF|XML | |
| 2026 | Q3 | 155984 | CGIS SECURITIES LLC | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2026 | Q3 | 28116 | CHAPIN, DAVIS | YES - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | PDF|XML | |
| 2026 | Q3 | 5393 | CHARLES SCHWAB & CO., INC. | NO | NA | PDF|XML | |
| 2026 | Q3 | 47770 | CHELSEA FINANCIAL SERVICES | YES - Disclosure | HILLTOP SECURITIES INC. | PDF|XML | |
| 2026 | Q3 | 128711 | CHICKASAW SECURITIES, LLC | NO | NA | PDF|XML | |
| 2026 | Q3 | 104021 | CHOICETRADE | NO | NA | PDF|XML | |
| 2026 | Q3 | 39462 | CHURCHILL FINANCIAL, LLC | YES - Disclosure | NATIONAL FINANCIAL SERVICES LLC | PDF|XML | |
| 2026 | Q3 | 316232 | CIBEST CAPITAL SECURITIES, LLC | NO | NA | PDF|XML | |
| 2026 | Q3 | 316232 | CIBEST CAPITAL SECURITIES, LLC | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2026 | Q3 | 143221 | CICC US SECURITIES, INC. | YES - Disclosure | CLEARPOOL EXECUTION SERVICES, LLC | PDF|XML | |
| 2026 | Q3 | 143221 | CICC US SECURITIES, INC. | YES - Disclosure | BTIG, LLC | PDF|XML | |
| 2026 | Q3 | 281102 | CITADEL SECURITIES INSTITUTIONAL LLC | NO | NA | PDF|XML | |
| 2026 | Q3 | 7059 | CITIGROUP GLOBAL MARKETS INC. | NO | NA | PDF|XML | CGWM |
| 2026 | Q3 | 7059 | CITIGROUP GLOBAL MARKETS INC. | NO | NA | PDF|XML | SBSH |
| 2026 | Q3 | 22208 | CITIZENS JMP SECURITIES, LLC | NO | NA | PDF|XML | |
| 2026 | Q3 | 39550 | CITIZENS SECURITIES, INC. | NO | NA | PDF|XML | |
| 2026 | Q3 | 39550 | CITIZENS SECURITIES, INC. | YES - Disclosure | NATIONAL FINANCIAL SERVICES LLC | PDF|XML | |
| 2026 | Q3 | 30882 | CLARKSONS SECURITIES, INC | NO | NA | PDF|XML | |
| 2026 | Q3 | 288933 | CLEAR STREET LLC | NO | NA | PDF|XML | |
| 2026 | Q3 | 168490 | CLEARPOOL EXECUTION SERVICES, LLC | NO | NA | PDF|XML | |
| 2026 | Q3 | 165533 | CLSA AMERICAS, LLC | NO | NA | PDF|XML | |
| 2026 | Q3 | 18466 | CNR SECURITIES, LLC | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2026 | Q3 | 18466 | CNR SECURITIES, LLC | NO | NA | ||
| 2026 | Q3 | 132078 | COBRA TRADING, INC. | NO | NA | PDF|XML | CBRV |
| 2026 | Q3 | 132078 | COBRA TRADING, INC. | NO | NA | PDF|XML | CBRC |
| 2026 | Q3 | 132078 | COBRA TRADING, INC. | NO | NA | PDF|XML | BIGT |
| 2026 | Q3 | 132078 | COBRA TRADING, INC. | NO | NA | PDF|XML | |
| 2026 | Q3 | 149758 | COHEN & COMPANY SECURITIES, LLC | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2026 | Q3 | 10722 | COINBASE CAPITAL MARKETS CORP | YES - Disclosure | APEX CLEARING CORPORATION | PDF|XML | |
| 2026 | Q3 | 29163 | COKER & PALMER | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2026 | Q3 | 29163 | COKER & PALMER | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | RBCWEALTHMANAGEMENT |
| 2026 | Q3 | 29163 | COKER & PALMER | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | RBCCLEARINGCUSTODY |
| 2026 | Q3 | 7477 | COLLIERS SECURITIES LLC | YES - Disclosure | NATIONAL FINANCIAL SERVICES LLC | PDF|XML | |
| 2026 | Q3 | 3013 | COLONIAL SECURITIES, INC. | YES - Disclosure | HILLTOP SECURITIES INC. | PDF|XML | |
| 2026 | Q3 | 104343 | COLORADO FINANCIAL SERVICE CORPORATION | YES - Disclosure | HILLTOP SECURITIES INC. | PDF|XML | |
| 2026 | Q3 | 8032 | COMMONWEALTH FINANCIAL NETWORK | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2026 | Q3 | 8032 | COMMONWEALTH FINANCIAL NETWORK | YES - Disclosure | NATIONAL FINANCIAL SERVICES LLC | PDF|XML | |
| 2026 | Q3 | 126258 | COMPASS POINT RESEARCH & TRADING, LLC | NO | NA | PDF|XML | |
| 2026 | Q3 | 325118 | COMPOSER SECURITIES LLC | YES - Disclosure | ALPACA SECURITIES LLC | PDF|XML | |
| 2026 | Q3 | 325118 | COMPOSER SECURITIES LLC | YES - Disclosure | APEX CLEARING CORPORATION | PDF|XML | |
| 2026 | Q3 | 151604 | CONCORDE INVESTMENT SERVICES, LLC | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2026 | Q3 | 151604 | CONCORDE INVESTMENT SERVICES, LLC | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2026 | Q3 | 151604 | CONCORDE INVESTMENT SERVICES, LLC | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | RBCWEALTHMANAGEMENT |
| 2026 | Q3 | 151604 | CONCORDE INVESTMENT SERVICES, LLC | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | RBCCLEARINGCUSTODY |
| 2026 | Q3 | 15708 | CONCOURSE FINANCIAL GROUP SECURITIES, INC. | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2026 | Q3 | 18810 | CONSOLIDATED FINANCIAL INVESTMENTS, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML |