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.
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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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| 2025 | Q2 | 1042 | ALLEN & COMPANY LLC | No | NA | PDF|XML | |
| 2025 | Q2 | 41139 | ALTERNA SECURITIES, INC. | No | NA | PDF|XML | |
| 2025 | Q2 | 24771 | BEECH HILL SECURITIES, INC. | No | NA | PDF|XML | |
| 2025 | Q2 | 166318 | CHINA RENAISSANCE SECURITIES (US) INC. | No | NA | PDF|XML | |
| 2025 | Q2 | 165533 | CLSA AMERICAS, LLC | No | NA | PDF|XML | |
| 2025 | Q2 | 38964 | CREAND SECURITIES | No | NA | PDF|XML | |
| 2025 | Q2 | 2525 | DEUTSCHE BANK SECURITIES INC. | No | NA | PDF|XML | |
| 2025 | Q2 | 1660 | DOFT & CO., INC. | No | NA | PDF|XML | |
| 2025 | Q2 | 32830 | FARINA & ASSOCIATES, INC. | No | NA | ||
| 2025 | Q2 | 44430 | FIRST CITIZENS INVESTOR SERVICES, INC. | No | NA | PDF|XML | |
| 2025 | Q2 | 120894 | GENEOS WEALTH MANAGEMENT, INC. | No | NA | PDF|XML | |
| 2025 | Q2 | 2002 | GILDER GAGNON HOWE & CO. LLC | No | NA | PDF|XML | |
| 2025 | Q2 | 7976 | GORDON, HASKETT CAPITAL CORPORATION | No | NA | PDF|XML | |
| 2025 | Q2 | 375 | H.C.WAINWRIGHT & CO., LLC | No | NA | PDF|XML | |
| 2025 | Q2 | 298809 | HUATAI SECURITIES (USA), INC. | No | NA | PDF|XML | |
| 2025 | Q2 | 29249 | INSIGNEO SECURITIES, LLC | No | NA | PDF|XML | |
| 2025 | Q2 | 317278 | INTER&CO SECURITIES LLC | No | NA | ||
| 2025 | Q2 | 6939 | INVESCO CAPITAL MARKETS, INC. | No | NA | ||
| 2025 | Q2 | 19524 | JOHNSON RICE & COMPANY L.L.C. | No | NA | PDF|XML | |
| 2025 | Q2 | 24795 | JOSEPH GUNNAR & CO. LLC | No | NA | PDF|XML | |
| 2025 | Q2 | 566 | KEYBANC CAPITAL MARKETS INC. | No | NA | PDF|XML | |
| 2025 | Q2 | 2440 | KIMELMAN & BAIRD, LLC | No | NA | PDF|XML | |
| 2025 | Q2 | 104158 | KOREA INVESTMENT & SECURITIES AMERICA, INC. | No | NA | PDF|XML | |
| 2025 | Q2 | 164447 | LAKE STREET CAPITAL MARKETS, LLC | No | NA | PDF|XML | |
| 2025 | Q2 | 43706 | LAMPOST CAPITAL, L.C. | No | NA | PDF|XML | |
| 2025 | Q2 | 43098 | LOOP CAPITAL MARKETS LLC | No | NA | PDF|XML | |
| 2025 | Q2 | 36368 | MACQUARIE CAPITAL (USA) INC. | No | NA | PDF|XML | |
| 2025 | Q2 | 309574 | MONDEUM CAPITAL | No | NA | PDF|XML | |
| 2025 | Q2 | 19685 | MUFG SECURITIES AMERICAS INC. | No | NA | PDF|XML | |
| 2025 | Q2 | 39455 | NATALLIANCE SECURITIES, LLC | No | NA | PDF|XML | |
| 2025 | Q2 | 15768 | NOBLE CAPITAL MARKETS, INC. | No | NA | PDF|XML | |
| 2025 | Q2 | 148158 | NORTH SOUTH CAPITAL, LLC | No | NA | PDF|XML | |
| 2025 | Q2 | 29753 | ORIENTAL FINANCIAL SERVICES LLC | No | NA | PDF|XML | |
| 2025 | Q2 | 35371 | OSAIC INSTITUTIONS, INC. | No | NA | PDF|XML | |
| 2025 | Q2 | 46173 | PARK AVENUE SECURITIES LLC | No | NA | PDF|XML | |
| 2025 | Q2 | 36671 | PERSHING ADVISOR SOLUTIONS LLC | No | NA | PDF|XML | |
| 2025 | Q2 | 104387 | PGM GLOBAL INC. | No | NA | PDF|XML | |
| 2025 | Q2 | 32889 | PRIME EXECUTIONS, INC. | No | NA | PDF|XML | |
| 2025 | Q2 | 120222 | PRIVATE CLIENT SERVICES, LLC | YES - Disclosure | PERSHING ADVISOR SOLUTIONS LLC | PDF|XML | |
| 2025 | Q2 | 26460 | R.W.PRESSPRICH & CO. | No | NA | PDF|XML | |
| 2025 | Q2 | 21606 | RICE FINANCIAL PRODUCTS COMPANY | No | NA | ||
| 2025 | Q2 | 19456 | ROBERTS & RYAN, INC. | No | NA | ||
| 2025 | Q2 | 205 | SANCTUARY SECURITIES, INC. | No | NA | PDF|XML | |
| 2025 | Q2 | 115547 | SAXONY SECURITIES, INC. | No | NA | PDF|XML | |
| 2025 | Q2 | 8330 | SEAPORT SECURITIES CORP. | No | NA | PDF|XML | |
| 2025 | Q2 | 164153 | TCFG WEALTH MANAGEMENT, LLC | No | NA | PDF|XML | |
| 2025 | Q2 | 120116 | THEMIS TRADING LLC | No | NA | XML | |
| 2025 | Q2 | 130030 | TRADEMAS INC. | No | NA | PDF|XML | |
| 2025 | Q2 | 6271 | TRUIST SECURITIES, INC. | No | NA | PDF|XML | |
| 2025 | Q2 | 39914 | WESTPARK CAPITAL, INC. | No | NA | PDF|XML | |
| 2025 | Q1 | 3767 | &PARTNERS | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2025 | Q1 | 8361 | A.G.P. / ALLIANCE GLOBAL PARTNERS | YES - Disclosure | NATIONAL FINANCIAL SERVICES LLC | XML | |
| 2025 | Q1 | 8361 | A.G.P. / ALLIANCE GLOBAL PARTNERS | YES - Disclosure | RBC CAPITAL MARKETS, LLC | RBCCLEARINGCUSTODY | |
| 2025 | Q1 | 8361 | A.G.P. / ALLIANCE GLOBAL PARTNERS | YES - Disclosure | RBC CAPITAL MARKETS, LLC | RBCWEALTHMANAGEMENT | |
| 2025 | Q1 | 8361 | A.G.P. / ALLIANCE GLOBAL PARTNERS | YES - Disclosure | RBC CAPITAL MARKETS, LLC | XML |