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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| 2024 | Q2 | 309574 | MONDEUM CAPITAL | No | NA |
PDF XML |
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| 2024 | Q2 | 143221 | CICC US SECURITIES, INC. | No | NA | ||
| 2024 | Q2 | 120894 | GENEOS WEALTH MANAGEMENT, INC. | No | NA | ||
| 2024 | Q2 | 7976 | GORDON, HASKETT CAPITAL CORPORATION | No | NA | ||
| 2024 | Q2 | 19685 | MUFG SECURITIES AMERICAS INC. | No | NA |
PDF XML |
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| 2024 | Q2 | 126258 | COMPASS POINT RESEARCH & TRADING, LLC | No | NA | ||
| 2024 | Q2 | 165533 | CLSA AMERICAS, LLC | No | NA |
PDF XML |
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| 2024 | Q2 | 8330 | SEAPORT SECURITIES CORP. | No | NA |
PDF XML |
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| 2024 | Q2 | 26460 | R.W.PRESSPRICH & CO. | No | NA |
PDF XML |
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| 2024 | Q2 | 128711 | CHICKASAW SECURITIES, LLC | No | NA |
PDF XML |
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| 2024 | Q2 | 166318 | CHINA RENAISSANCE SECURITIES (US) INC. | No | NA | ||
| 2024 | Q2 | 132187 | GRIFFINEST ASIA SECURITIES, LLC | No | NA |
PDF XML |
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| 2024 | Q2 | 15708 | CONCOURSE FINANCIAL GROUP SECURITIES, INC. | No | NA | ||
| 2024 | Q2 | 40258 | NORTHLAND SECURITIES, INC. | No | NA |
PDF XML |
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| 2024 | Q2 | 3420 | HERBERT J. SIMS & CO, INC. | No | NA |
PDF XML |
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| 2024 | Q2 | 2002 | GILDER GAGNON HOWE & CO. LLC | No | NA |
PDF XML |
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| 2024 | Q2 | 37818 | MISCHLER FINANCIAL GROUP, INC. | No | NA |
PDF XML |
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| 2024 | Q2 | 1137 | PRINCIPAL SECURITIES, INC. | No | NA |
PDF XML |
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| 2024 | Q2 | 39944 | BAY CREST PARTNERS, LLC | No | NA |
PDF XML |
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| 2024 | Q2 | 14303 | SIGMA FINANCIAL CORPORATION | No | NA |
PDF XML |
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| 2024 | Q2 | 115368 | PARKLAND SECURITIES, LLC | No | NA |
PDF XML |
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| 2024 | Q2 | 29753 | ORIENTAL FINANCIAL SERVICES LLC | No | NA |
PDF XML |
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| 2024 | Q2 | 44430 | FIRST CITIZENS INVESTOR SERVICES, INC. | No | NA |
PDF XML |
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| 2024 | Q2 | 12963 | MONEY CONCEPTS CAPITAL CORP | No | NA | ||
| 2024 | Q2 | 120583 | US TIGER SECURITIES, INC. | No | NA |
PDF XML |
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| 2024 | Q2 | 18387 | THRIVENT INVESTMENT MANAGEMENT INC. | No | NA |
PDF XML |
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| 2024 | Q2 | 8096 | POPULAR SECURITIES, LLC | No | NA |
PDF XML |
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| 2024 | Q2 | 1331 | BROWN, LISLE/CUMMINGS, INC. | No | NA |
PDF XML |
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| 2024 | Q2 | 70 | BCG SECURITIES, INC. | No | NA |
PDF XML |
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| 2024 | Q2 | 103727 | GAGNON SECURITIES, LLC | No | NA | ||
| 2024 | Q2 | 147529 | MCLAUGHLIN RYDER INVESTMENTS, INC. | No | NA | ||
| 2024 | Q2 | 42060 | OBERWEIS SECURITIES, INC. | No | NA |
PDF XML |
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| 2024 | Q2 | 5167 | NYLIFE SECURITIES LLC | No | NA |
PDF XML |
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| 2024 | Q2 | 44848 | KOVACK SECURITIES INC. | No | NA |
PDF XML |
NFS |
| 2024 | Q2 | 42057 | ARVEST WEALTH MANAGEMENT | No | NA |
PDF XML |
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| 2024 | Q2 | 14869 | AMERITAS INVESTMENT COMPANY, LLC | No | NA |
PDF XML |
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| 2024 | Q2 | 43098 | LOOP CAPITAL MARKETS LLC | No | NA |
PDF XML |
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| 2024 | Q2 | 8032 | COMMONWEALTH FINANCIAL NETWORK | No | NA |
PDF XML |
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| 2024 | Q2 | 6271 | TRUIST SECURITIES, INC. | No | NA |
PDF XML |
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| 2024 | Q2 | 38964 | CREAND SECURITIES | No | NA |
PDF XML |
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| 2024 | Q2 | 20677 | WESTMINSTER FINANCIAL SECURITIES, INC. | No | NA |
PDF XML |
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| 2024 | Q2 | 36368 | MACQUARIE CAPITAL (USA) INC. | No | NA |
PDF XML |
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| 2024 | Q2 | 291361 | ROCKEFELLER FINANCIAL LLC | No | NA |
PDF XML |
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| 2024 | Q2 | 8348 | T. ROWE PRICE INVESTMENT SERVICES, INC. | No | NA |
PDF XML |
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| 2024 | Q2 | 39462 | CHURCHILL FINANCIAL, LLC | No | NA |
PDF XML |
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| 2024 | Q2 | 463 | JANNEY MONTGOMERY SCOTT LLC | No | NA |
PDF XML |
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| 2024 | Q2 | 17870 | NBC SECURITIES, INC. | No | NA | ||
| 2024 | Q2 | 1042 | ALLEN & COMPANY LLC | No | NA |
XML |
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| 2024 | Q2 | 32460 | FIRST HEARTLAND CAPITAL, INC. | No | NA | XML | |
| 2024 | Q2 | 24795 | JOSEPH GUNNAR & CO. LLC | No | NA |
XML |
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| 2024 | Q2 | 39455 | NATALLIANCE SECURITIES, LLC | No | NA |
XML |
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| 2024 | Q2 | 316232 | BANCOLOMBIA CAPITAL LLC | No | NA |
XML |
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| 2024 | Q2 | 35747 | PURSHE KAPLAN STERLING INVESTMENTS | No | NA |
XML |
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| 2024 | Q2 | 44848 | KOVACK SECURITIES INC. | No | NA |
XML |
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| 2024 | Q2 | 24771 | BEECH HILL SECURITIES, INC. | No | NA | XML | |
| 2024 | Q2 | 14023 | SYNOVUS SECURITIES, INC. | No | NA |
XML |