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NMS Equity and Option Order Routing Reports (SEC Rule 606(a) Reports)

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 option contracts in NMS securities. 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.

Date Submitted
Displaying 1 - 15 of 57 Glossary
Year Quarter Firm CRD Firm Order Routing / Clearing Firm Date Submitted Sort ascending Report Type Context
2024 Q2 132187 GRIFFINEST ASIA SECURITIES, LLC Self 07/11/2024 PDF
2024 Q2 40258 NORTHLAND SECURITIES, INC. Self 07/11/2024 PDF
2024 Q2 24795 JOSEPH GUNNAR & CO. LLC Self 07/11/2024 XML
2024 Q2 39455 NATALLIANCE SECURITIES, LLC Self 07/11/2024 PDF
2024 Q2 3420 HERBERT J. SIMS & CO, INC. Self 07/11/2024 PDF
2024 Q2 2002 GILDER GAGNON HOWE & CO. LLC Self 07/11/2024 XML
2024 Q2 36500 PICTET OVERSEAS INC. Self 07/11/2024 XML
2024 Q2 1137 PRINCIPAL SECURITIES, INC. Self 07/11/2024 PDF
2024 Q2 132187 GRIFFINEST ASIA SECURITIES, LLC Self 07/11/2024 XML
2024 Q2 40258 NORTHLAND SECURITIES, INC. Self 07/11/2024 XML
2024 Q2 130645 DAWSON JAMES SECURITIES, INC. Self 07/11/2024 PDF
2024 Q2 130645 DAWSON JAMES SECURITIES, INC. Self 07/11/2024 XML
2024 Q2 3420 HERBERT J. SIMS & CO, INC. Self 07/11/2024 XML
2024 Q2 37818 MISCHLER FINANCIAL GROUP, INC. Self 07/11/2024 PDF
2024 Q2 316232 BANCOLOMBIA CAPITAL LLC Self 07/11/2024 XML