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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 6439 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 3767 &PARTNERS YES - Disclosure PERSHING LLC PDF|XML
2025 Q1 8361 A.G.P. / ALLIANCE GLOBAL PARTNERS YES - Disclosure RBC CAPITAL MARKETS, LLC PDF|XML
2025 Q1 8361 A.G.P. / ALLIANCE GLOBAL PARTNERS YES - Disclosure RBC CAPITAL MARKETS, LLC PDF|XML RBCWEALTHMANAGEMENT
2025 Q1 8361 A.G.P. / ALLIANCE GLOBAL PARTNERS YES - Disclosure NATIONAL FINANCIAL SERVICES LLC PDF|XML
2025 Q1 8361 A.G.P. / ALLIANCE GLOBAL PARTNERS YES - Disclosure RBC CAPITAL MARKETS, LLC PDF RBCCLEARINGCUSTODY
2025 Q1 8361 A.G.P. / ALLIANCE GLOBAL PARTNERS No NA PDF|XML
2025 Q1 35127 ABACUS INVESTMENTS, INC. YES - Disclosure HILLTOP SECURITIES INC. PDF|XML
2025 Q1 14020 ABN AMRO CLEARING USA LLC No NA PDF|XML
2025 Q1 17433 ACADEMY SECURITIES, INC. No NA PDF
2025 Q1 139049 ACP SECURITIES, LLC YES - Disclosure PERSHING LLC PDF|XML
2025 Q1 15007 AEGIS CAPITAL CORP. YES - Disclosure RBC CAPITAL MARKETS, LLC PDF|XML
2025 Q1 15007 AEGIS CAPITAL CORP. No NA XML AGIS
2025 Q1 15007 AEGIS CAPITAL CORP. YES - Disclosure AXOS CLEARING LLC PDF|XML
2025 Q1 15007 AEGIS CAPITAL CORP. YES - Disclosure RBC CAPITAL MARKETS, LLC PDF|XML RBCWEALTHMANAGEMENT
2025 Q1 15007 AEGIS CAPITAL CORP. YES - Disclosure RBC CAPITAL MARKETS, LLC PDF RBCCLEARINGCUSTODY
2025 Q1 15007 AEGIS CAPITAL CORP. No NA XML AGCP
2025 Q1 26193 ALAMO CAPITAL YES - Disclosure RBC CAPITAL MARKETS, LLC PDF|XML
2025 Q1 26193 ALAMO CAPITAL YES - Disclosure RBC CAPITAL MARKETS, LLC PDF|XML RBCWEALTHMANAGEMENT
2025 Q1 26193 ALAMO CAPITAL YES - Disclosure RBC CAPITAL MARKETS, LLC PDF RBCCLEARINGCUSTODY
2025 Q1 286504 ALLARIA SECURITIES, LLC YES - Disclosure PERSHING LLC PDF|XML
2025 Q1 1042 ALLEN & COMPANY LLC No NA PDF|XML
2025 Q1 142619 ALLEN, MOONEY & BARNES BROKERAGE SERVICES, LLC YES - Disclosure WELLS FARGO CLEARING SERVICES, LLC PDF|XML
2025 Q1 7726 ALLIANT SECURITIES, INC. TURNER, NORD, KIENBAUM YES - Disclosure WELLS FARGO CLEARING SERVICES, LLC PDF|XML
2025 Q1 16569 ALLIED MILLENNIAL PARTNERS, LLC YES - Disclosure STONEX FINANCIAL INC. PDF|XML
2025 Q1 16569 ALLIED MILLENNIAL PARTNERS, LLC No INTERACTIVE BROKERS LLC PDF
2025 Q1 18272 ALLSTATE FINANCIAL SERVICES, LLC YES - Disclosure NATIONAL FINANCIAL SERVICES LLC PDF|XML
2025 Q1 136131 ALLY INVEST SECURITIES LLC No NA PDF|XML
2025 Q1 136131 ALLY INVEST SECURITIES LLC No NA PDF|XML APEXFLOW
2025 Q1 288202 ALPACA SECURITIES LLC No NA PDF|XML
2025 Q1 300262 ALPHALEDGER MARKETS, INC. YES - Disclosure HILLTOP SECURITIES INC. PDF|XML
2025 Q1 41139 ALTERNA SECURITIES, INC. YES - Disclosure PERSHING LLC PDF|XML
2025 Q1 41139 ALTERNA SECURITIES, INC. No NA PDF|XML
2025 Q1 299274 ALTRUIST FINANCIAL LLC No NA PDF|XML ALTR
2025 Q1 117284 AMERANT INVESTMENTS, INC. YES - Disclosure PERSHING LLC PDF|XML
2025 Q1 119249 AMERICAN CAPITAL PARTNERS, LLC YES - Disclosure RBC CAPITAL MARKETS, LLC PDF|XML
2025 Q1 119249 AMERICAN CAPITAL PARTNERS, LLC YES - Disclosure RBC CAPITAL MARKETS, LLC PDF RBCCLEARINGCUSTODY
2025 Q1 119249 AMERICAN CAPITAL PARTNERS, LLC YES - Disclosure RBC CAPITAL MARKETS, LLC PDF|XML RBCWEALTHMANAGEMENT
2025 Q1 17437 AMERICAN CENTURY INVESTMENT SERVICES INC. YES - Disclosure PERSHING LLC PDF|XML
2025 Q1 17437 AMERICAN CENTURY INVESTMENT SERVICES INC. No NA PDF|XML
2025 Q1 26506 AMERICAN ENTERPRISE INVESTMENT SERVICES INC. No NA PDF|XML
2025 Q1 7388 AMERICAN GLOBAL WEALTH MANAGEMENT, INC. YES - Disclosure HILLTOP SECURITIES INC. PDF|XML
2025 Q1 29678 AMERICAN HERITAGE SECURITIES, INC. YES - Disclosure WELLS FARGO CLEARING SERVICES, LLC PDF|XML
2025 Q1 135288 AMERICAN INDEPENDENT SECURITIES GROUP, LLC YES - Disclosure RBC CAPITAL MARKETS, LLC PDF|XML
2025 Q1 135288 AMERICAN INDEPENDENT SECURITIES GROUP, LLC YES - Disclosure RBC CAPITAL MARKETS, LLC PDF|XML RBCWEALTHMANAGEMENT
2025 Q1 135288 AMERICAN INDEPENDENT SECURITIES GROUP, LLC YES - Disclosure RBC CAPITAL MARKETS, LLC PDF RBCCLEARINGCUSTODY
2025 Q1 3001 AMERICAN TRUST INVESTMENT SERVICES, INC. No RBC CAPITAL MARKETS, LLC PDF|XML RBCWEALTHMANAGEMENT
2025 Q1 3001 AMERICAN TRUST INVESTMENT SERVICES, INC. No RBC CAPITAL MARKETS, LLC PDF RBCCLEARINGCUSTODY
2025 Q1 3001 AMERICAN TRUST INVESTMENT SERVICES, INC. No RBC CAPITAL MARKETS, LLC PDF|XML
2025 Q1 6363 AMERIPRISE FINANCIAL SERVICES, LLC YES - Disclosure AMERICAN ENTERPRISE INVESTMENT SERVICES INC. PDF|XML
2025 Q1 14869 AMERITAS INVESTMENT COMPANY, LLC No NA PDF|XML
2025 Q1 8365 AMUNI FINANCIAL, INC. YES - Disclosure WELLS FARGO CLEARING SERVICES, LLC PDF|XML
2025 Q1 29931 ANDREW GARRETT INC. No NA PDF
2025 Q1 284714 ANOS CAPITAL, LLC No NA PDF
2025 Q1 13071 APEX CLEARING CORPORATION No NA PDF|XML
2025 Q1 305818 APEX FINTECH BROKERAGE SERVICES No NA PDF
2025 Q1 44856 ARETE WEALTH MANAGEMENT, LLC YES - Disclosure NATIONAL FINANCIAL SERVICES LLC PDF|XML
2025 Q1 44856 ARETE WEALTH MANAGEMENT, LLC YES - Disclosure PERSHING LLC XML