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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

Displaying 1 - 100 of 4996 Glossary
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.
2025 Q1 1042 ALLEN & COMPANY LLC No NA PDF|XML
2025 Q1 41139 ALTERNA SECURITIES, INC. No NA PDF|XML
2025 Q1 17437 AMERICAN CENTURY INVESTMENT SERVICES INC. No NA PDF|XML
2025 Q1 14869 AMERITAS INVESTMENT COMPANY, LLC No NA PDF|XML
2025 Q1 284714 ANOS CAPITAL, LLC No NA PDF
2025 Q1 316232 BANCOLOMBIA CAPITAL LLC No NA PDF|XML
2025 Q1 13609 BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC. No NA PDF|XML
2025 Q1 1331 BROWN, LISLE/CUMMINGS, INC. No NA PDF|XML
2025 Q1 25427 CFD INVESTMENTS, INC. No NA PDF|XML
2025 Q1 128711 CHICKASAW SECURITIES, LLC No NA PDF|XML
2025 Q1 166318 CHINA RENAISSANCE SECURITIES (US) INC. No NA PDF|XML
2025 Q1 143221 CICC US SECURITIES, INC. No NA PDF|XML
2025 Q1 103705 CITY NATIONAL SECURITIES, INC. No NA XML
2025 Q1 165533 CLSA AMERICAS, LLC No NA PDF|XML
2025 Q1 18466 CNR SECURITIES, LLC No NA PDF
2025 Q1 7477 COLLIERS SECURITIES LLC No NA PDF|XML INFO
2025 Q1 126258 COMPASS POINT RESEARCH & TRADING, LLC No NA PDF|XML
2025 Q1 38964 CREAND SECURITIES No NA PDF|XML
2025 Q1 199 D.A. DAVIDSON & CO. No NA PDF|XML
2025 Q1 130645 DAWSON JAMES SECURITIES, INC. No NA PDF|XML
2025 Q1 308213 DIGITAL BROKERAGE SERVICES LLC No NA PDF|XML
2025 Q1 1660 DOFT & CO., INC. No NA PDF|XML
2025 Q1 24746 DOWLING & PARTNERS SECURITIES LLC No NA PDF
2025 Q1 13109 EMPOWER FINANCIAL SERVICES, INC. No NA PDF|XML PERSHING7560GWFS
2025 Q1 159481 FENIX SECURITIES, LLC No NA PDF
2025 Q1 47768 FERRETTI GROUP, INC. No NA PDF|XML
2025 Q1 44430 FIRST CITIZENS INVESTOR SERVICES, INC. No NA PDF|XML
2025 Q1 17465 FROST BROKERAGE SERVICES, INC. No NA PDF|XML
2025 Q1 103727 GAGNON SECURITIES, LLC No NA PDF|XML SPGLOBAL
2025 Q1 120894 GENEOS WEALTH MANAGEMENT, INC. No NA PDF|XML
2025 Q1 2002 GILDER GAGNON HOWE & CO. LLC No NA PDF|XML
2025 Q1 132187 GRIFFINEST ASIA SECURITIES, LLC No NA PDF|XML
2025 Q1 375 H.C.WAINWRIGHT & CO., LLC No NA PDF|XML
2025 Q1 298809 HUATAI SECURITIES (USA), INC. No NA PDF|XML
2025 Q1 6939 INVESCO CAPITAL MARKETS, INC. No NA PDF
2025 Q1 19524 JOHNSON RICE & COMPANY L.L.C. No NA PDF|XML
2025 Q1 24795 JOSEPH GUNNAR & CO. LLC No NA PDF|XML
2025 Q1 42046 KESTRA INVESTMENT SERVICES, LLC No NA PDF
2025 Q1 136300 KEY INVESTMENT SERVICES LLC No NA PDF|XML
2025 Q1 2440 KIMELMAN & BAIRD, LLC No NA PDF|XML
2025 Q1 104158 KOREA INVESTMENT & SECURITIES AMERICA, INC. No NA PDF|XML
2025 Q1 44848 KOVACK SECURITIES INC. No NA PDF|XML NFS
2025 Q1 44848 KOVACK SECURITIES INC. No NA PDF|XML PERSHING
2025 Q1 7191 LASALLE ST SECURITIES, L.L.C. No NA PDF|XML
2025 Q1 165828 LION STREET FINANCIAL, LLC No NA XML
2025 Q1 43098 LOOP CAPITAL MARKETS LLC No NA PDF|XML
2025 Q1 36368 MACQUARIE CAPITAL (USA) INC. No NA PDF|XML
2025 Q1 2764 MESIROW FINANCIAL, INC. No NA PDF
2025 Q1 101080 MIDWESTERN SECURITIES TRADING COMPANY, LLC No NA PDF|XML
2025 Q1 37818 MISCHLER FINANCIAL GROUP, INC. No NA PDF|XML
2025 Q1 12963 MONEY CONCEPTS CAPITAL CORP No NA PDF
2025 Q1 283078 MOOMOO FINANCIAL INC. No NA PDF
2025 Q1 19685 MUFG SECURITIES AMERICAS INC. No NA PDF|XML
2025 Q1 39455 NATALLIANCE SECURITIES, LLC No NA PDF|XML
2025 Q1 15768 NOBLE CAPITAL MARKETS, INC. No NA PDF|XML
2025 Q1 148158 NORTH SOUTH CAPITAL, LLC No NA XML