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 101 - 200 of 9093
Glossary
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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 | Q3 | 151604 | CONCORDE INVESTMENT SERVICES, LLC | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2025 | Q3 | 151604 | CONCORDE INVESTMENT SERVICES, LLC | No | NA | PDF|XML | MPID1 |
| 2025 | Q3 | 18810 | CONSOLIDATED FINANCIAL INVESTMENTS, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2025 | Q3 | 29775 | CONTINENTAL INVESTORS SERVICES, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2025 | Q3 | 38690 | CORPORATE INVESTMENTS GROUP, INC. | YES - Disclosure | AXOS CLEARING LLC | PDF|XML | |
| 2025 | Q3 | 38964 | CREAND SECURITIES | No | NA | PDF|XML | |
| 2025 | Q3 | 18266 | CULLEN INVESTMENT GROUP, LTD. | YES - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | PDF|XML | |
| 2025 | Q3 | 22449 | CUTTER & COMPANY, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2025 | Q3 | 10386 | D. B. MCKENNA & CO., INC. | YES - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | PDF|XML | |
| 2025 | Q3 | 103792 | D. BORAL CAPITAL | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2025 | Q3 | 103792 | D. BORAL CAPITAL | YES - Disclosure | AXOS CLEARING LLC | PDF|XML | |
| 2025 | Q3 | 199 | D.A. DAVIDSON & CO. | No | NA | PDF|XML | |
| 2025 | Q3 | 1576 | DAIWA CAPITAL MARKETS AMERICA INC. | No | NA | PDF|XML | |
| 2025 | Q3 | 130645 | DAWSON JAMES SECURITIES, INC. | No | NA | PDF|XML | |
| 2025 | Q3 | 2525 | DEUTSCHE BANK SECURITIES INC. | No | NA | PDF|XML | |
| 2025 | Q3 | 308213 | DIGITAL BROKERAGE SERVICES LLC | No | NA | PDF|XML | |
| 2025 | Q3 | 18975 | DOMINARI SECURITIES LLC | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2025 | Q3 | 2950 | DORN & CO., INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2025 | Q3 | 24746 | DOWLING & PARTNERS SECURITIES LLC | No | NA | PDF|XML | |
| 2025 | Q3 | 165429 | DRIVEWEALTH, LLC | No | NA | PDF|XML | |
| 2025 | Q3 | 143007 | EMPIRE ASSET MANAGEMENT COMPANY | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2025 | Q3 | 13109 | EMPOWER FINANCIAL SERVICES, INC. | No | NA | PDF|XML | PERSHING7560GWFS |
| 2025 | Q3 | 145276 | ETC BROKERAGE SERVICES, LLC | No | NA | PDF|XML | |
| 2025 | Q3 | 5309 | FBL MARKETING SERVICES, LLC | No | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2025 | Q3 | 6905 | FELTL & COMPANY | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2025 | Q3 | 159481 | FENIX SECURITIES, LLC | No | NA | PDF|XML | |
| 2025 | Q3 | 47768 | FERRETTI GROUP, INC. | No | NA | PDF|XML | |
| 2025 | Q3 | 628 | FIFTH THIRD SECURITIES, INC. | No | NA | PDF|XML | OHIO |
| 2025 | Q3 | 628 | FIFTH THIRD SECURITIES, INC. | No | NA | FTSR | |
| 2025 | Q3 | 44430 | FIRST CITIZENS INVESTOR SERVICES, INC. | No | NA | PDF|XML | |
| 2025 | Q3 | 3641 | FIRST COMMAND BROKERAGE SERVICES, INC. | No | NA | PDF|XML | |
| 2025 | Q3 | 32460 | FIRST HEARTLAND CAPITAL, INC. | No | NA | PDF|XML | |
| 2025 | Q3 | 7524 | FIRST KENTUCKY SECURITIES CORPORATION | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2025 | Q3 | 38105 | FMN CAPITAL CORPORATION | No | NA | PDF|XML | |
| 2025 | Q3 | 17465 | FROST BROKERAGE SERVICES, INC. | No | NA | PDF|XML | |
| 2025 | Q3 | 103727 | GAGNON SECURITIES, LLC | No | NA | PDF|XML | NFS |
| 2025 | Q3 | 103727 | GAGNON SECURITIES, LLC | No | NA | PDF|XML | SPGLOBAL |
| 2025 | Q3 | 120894 | GENEOS WEALTH MANAGEMENT, INC. | No | NA | PDF|XML | |
| 2025 | Q3 | 2002 | GILDER GAGNON HOWE & CO. LLC | No | NA | PDF|XML | |
| 2025 | Q3 | 35699 | GLOBAL FINANCIAL SERVICES, L.L.C. | YES - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | PDF|XML | |
| 2025 | Q3 | 48015 | GOLDMAN SACHS CUSTODY SOLUTIONS | No | NA | PDF|XML | |
| 2025 | Q3 | 127701 | GRADIENT SECURITIES, LLC | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2025 | Q3 | 313305 | GREEN PIER FINTECH LLC | No | NA | PDF|XML | |
| 2025 | Q3 | 7294 | GREGORY J. SCHWARTZ & CO., INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2025 | Q3 | 132187 | GRIFFINEST ASIA SECURITIES, LLC | No | NA | PDF|XML | |
| 2025 | Q3 | 128929 | GWN SECURITIES INC. | No | NA | ||
| 2025 | Q3 | 375 | H.C.WAINWRIGHT & CO., LLC | No | NA | PDF|XML | |
| 2025 | Q3 | 19258 | HARBOUR INVESTMENTS, INC. | No | NA | ||
| 2025 | Q3 | 38993 | HEIM, YOUNG & ASSOCIATES, INC. | No | NA | ||
| 2025 | Q3 | 3420 | HERBERT J. SIMS & CO, INC. | No | NA | PDF|XML | |
| 2025 | Q3 | 46001 | HOLISTIC BROKERAGE, LLC | No | NA | PDF|XML | |
| 2025 | Q3 | 298809 | HUATAI SECURITIES (USA), INC. | No | NA | PDF|XML |