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 8301 - 8400 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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| 2024 | Q2 | 3441 | SMITH, MOORE & CO. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | XML | |
| 2024 | Q2 | 149794 | SNOWDEN ACCOUNT SERVICES LLC | No | NA | PDF|XML | |
| 2024 | Q2 | 151717 | SOFI SECURITIES LLC | No | NA | PDF|XML | |
| 2024 | Q2 | 17912 | SOGOTRADE, INC. | No | NA | PDF|XML | |
| 2024 | Q2 | 127787 | SORRENTO PACIFIC FINANCIAL, LLC | No | NA | ||
| 2024 | Q2 | 167663 | SOVEREIGN GLOBAL ADVISORS LLC | YES - Disclosure | WEDBUSH SECURITIES INC. | PDF|XML | |
| 2024 | Q2 | 146251 | SPARTAN CAPITAL SECURITIES, LLC | YES - Disclosure | AXOS CLEARING LLC | PDF|XML | |
| 2024 | Q2 | 107403 | SPEEDTRADER, INC | No | NA | PDF|XML | |
| 2024 | Q2 | 8300 | SPENCER-WINSTON SECURITIES CORPORATION | YES - Disclosure | WEDBUSH SECURITIES INC. | PDF|XML | |
| 2024 | Q2 | 148743 | SPIDERROCK EXS, LLC | No | NA | PDF|XML | |
| 2024 | Q2 | 144131 | SPIRE SECURITIES, LLC | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2024 | Q2 | 144131 | SPIRE SECURITIES, LLC | YES - Disclosure | NATIONAL FINANCIAL SERVICES LLC | PDF|XML | |
| 2024 | Q2 | 35878 | SPROTT GLOBAL RESOURCE INVESTMENTS LTD | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | RBCWEALTHMANAGEMENT |
| 2024 | Q2 | 35878 | SPROTT GLOBAL RESOURCE INVESTMENTS LTD | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2024 | Q2 | 35878 | SPROTT GLOBAL RESOURCE INVESTMENTS LTD | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | RBCCLEARINGCUSTODY |
| 2024 | Q2 | 3255 | ST. GERMAIN SECURITIES, INC. | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2024 | Q2 | 3255 | ST. GERMAIN SECURITIES, INC. | YES - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | PDF|XML | |
| 2024 | Q2 | 287728 | STASH CAPITAL LLC | YES - Disclosure | APEX CLEARING CORPORATION | PDF|XML | |
| 2024 | Q2 | 43036 | STATE FARM VP MANAGEMENT CORP. | No | NA | PDF|XML | |
| 2024 | Q2 | 43036 | STATE FARM VP MANAGEMENT CORP. | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2024 | Q2 | 285852 | STATE STREET GLOBAL MARKETS, LLC | No | NA | PDF|XML | |
| 2024 | Q2 | 104651 | STATETRUST INVESTMENTS INC. | No | NA | PDF|XML | |
| 2024 | Q2 | 3496 | STEPHENS | No | NA | PDF|XML | |
| 2024 | Q2 | 16325 | STERN BROTHERS & CO. | No | NA | PERSHING | |
| 2024 | Q2 | 28218 | STIFEL INDEPENDENT ADVISORS, LLC | YES - Disclosure | STIFEL, NICOLAUS & COMPANY, INCORPORATED | PDF|XML | |
| 2024 | Q2 | 793 | STIFEL, NICOLAUS & COMPANY, INCORPORATED | No | NA | PDF|XML | |
| 2024 | Q2 | 37711 | STOCK TRADERS | YES - Disclosure | HILLTOP SECURITIES INC. | PDF|XML | |
| 2024 | Q2 | 39616 | STONECREST CAPITAL MARKETS, INC. | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2024 | Q2 | 45993 | STONEX FINANCIAL INC. | No | NA | PDF|XML | |
| 2024 | Q2 | 30773 | STONEX OUTSOURCED SERVICES LLC | YES - Disclosure | BOFA SECURITIES, INC. | PDF|XML | |
| 2024 | Q2 | 18456 | STONEX SECURITIES INC. | YES - Disclosure | STONEX FINANCIAL INC. | PDF|XML | |
| 2024 | Q2 | 18456 | STONEX SECURITIES INC. | No | PERSHING LLC | PDF|XML | |
| 2024 | Q2 | 149326 | STRATEGAS SECURITIES, LLC DBA STRATEGAS RESEARCH PARTNERS | No | NA | PDF|XML | |
| 2024 | Q2 | 42180 | SUNBELT SECURITIES, INC. | YES - Disclosure | NATIONAL FINANCIAL SERVICES LLC | PDF|XML | |
| 2024 | Q2 | 42180 | SUNBELT SECURITIES, INC. | No | NA | PDF|XML | |
| 2024 | Q2 | 35865 | SUSQUEHANNA FINANCIAL GROUP, LLLP | No | NA | PDF|XML | |
| 2024 | Q2 | 133715 | SWBC INVESTMENT SERVICES, LLC | No | NA | ||
| 2024 | Q2 | 14143 | SYCAMORE FINANCIAL GROUP | YES - Disclosure | HILLTOP SECURITIES INC. | PDF|XML | |
| 2024 | Q2 | 29037 | SYNDICATED CAPITAL, INC. | No | NA | PDF|XML | |
| 2024 | Q2 | 14023 | SYNOVUS SECURITIES, INC. | No | NA | PDF|XML | |
| 2024 | Q2 | 8348 | T. ROWE PRICE INVESTMENT SERVICES, INC. | No | NA | PDF|XML | |
| 2024 | Q2 | 10571 | T.R. WINSTON & COMPANY, LLC | No | NA | PDF|XML | |
| 2024 | Q2 | 154431 | T3 TRADING GROUP, LLC | No | NA | PDF|XML | |
| 2024 | Q2 | 277027 | TASTYTRADE, INC. | No | NA | PDF|XML | |
| 2024 | Q2 | 155523 | TC2000 BROKERAGE, INC. | YES - Disclosure | INTERACTIVE BROKERS LLC | ||
| 2024 | Q2 | 155523 | TC2000 BROKERAGE, INC. | YES - Disclosure | APEX CLEARING CORPORATION | PDF|XML | |
| 2024 | Q2 | 164153 | TCFG WEALTH MANAGEMENT, LLC | No | NA | XML | |
| 2024 | Q2 | 5633 | TD AMERITRADE CLEARING, INC. | No | NA | PDF|XML | |
| 2024 | Q2 | 7870 | TD AMERITRADE, INC. | No | NA | PDF|XML | |
| 2024 | Q2 | 164484 | TD PRIVATE CLIENT WEALTH LLC | No | NA | PDF|XML | |
| 2024 | Q2 | 18476 | TD SECURITIES (USA) LLC | No | NA | PDF|XML | |
| 2024 | Q2 | 16986 | THE HUNTINGTON INVESTMENT COMPANY | No | NA | PDF|XML | |
| 2024 | Q2 | 17839 | THE INVESTMENT CENTER, INC. | No | NA | PDF|XML |