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 1201 - 1300 of 8599
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 | Q2 | 283078 | MOOMOO FINANCIAL INC. | No | NA | ||
| 2025 | Q2 | 594 | MOORS & CABOT, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | RBCCLEARINGCUSTODY |
| 2025 | Q2 | 594 | MOORS & CABOT, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | RBCWEALTHMANAGEMENT |
| 2025 | Q2 | 594 | MOORS & CABOT, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2025 | Q2 | 149777 | MORGAN STANLEY | No | NA | PDF|XML | |
| 2025 | Q2 | 8209 | MORGAN STANLEY & CO. LLC | No | NA | PDF|XML | |
| 2025 | Q2 | 44807 | MORGAN WILSHIRE SECURITIES, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | RBCCLEARINGCUSTODY |
| 2025 | Q2 | 44807 | MORGAN WILSHIRE SECURITIES, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2025 | Q2 | 44807 | MORGAN WILSHIRE SECURITIES, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | RBCWEALTHMANAGEMENT |
| 2025 | Q2 | 154327 | MSEC, LLC | No | NA | PDF|XML | |
| 2025 | Q2 | 19685 | MUFG SECURITIES AMERICAS INC. | No | NA | PDF|XML | |
| 2025 | Q2 | 5376 | MURIEL SIEBERT & CO., LLC | No | NA | PDF|XML | |
| 2025 | Q2 | 142783 | MURRAY SECURITIES, INC. | No | HILLTOP SECURITIES INC. | PDF|XML | |
| 2025 | Q2 | 611 | MUTUAL OF OMAHA INVESTOR SERVICES, INC. | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2025 | Q2 | 13092 | MUTUAL SECURITIES, INC. | YES - Disclosure | NATIONAL FINANCIAL SERVICES LLC | PDF|XML | |
| 2025 | Q2 | 13092 | MUTUAL SECURITIES, INC. | No | NA | PDF|XML | |
| 2025 | Q2 | 39455 | NATALLIANCE SECURITIES, LLC | No | NA | PDF|XML | |
| 2025 | Q2 | 13041 | NATIONAL FINANCIAL SERVICES LLC | No | NA | PDF|XML | |
| 2025 | Q2 | 44181 | NATIONS FINANCIAL GROUP, INC. | YES - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | PDF|XML | |
| 2025 | Q2 | 31029 | NATIONWIDE PLANNING ASSOCIATES INC. | No | NA | ||
| 2025 | Q2 | 31029 | NATIONWIDE PLANNING ASSOCIATES INC. | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2025 | Q2 | 11173 | NATIONWIDE SECURITIES, LLC | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2025 | Q2 | 1101 | NATIXIS SECURITIES AMERICAS LLC | No | NA | ||
| 2025 | Q2 | 22373 | NAVIGATOR SECURITIES LIMITED | YES - Disclosure | HILLTOP SECURITIES INC. | PDF|XML | |
| 2025 | Q2 | 138459 | NAVY FEDERAL INVESTMENT SERVICES, LLC | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2025 | Q2 | 138459 | NAVY FEDERAL INVESTMENT SERVICES, LLC | YES - Disclosure | DRIVEWEALTH, LLC | PDF|XML | |
| 2025 | Q2 | 17870 | NBC SECURITIES, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2025 | Q2 | 17870 | NBC SECURITIES, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | RBCWEALTHMANAGEMENT |
| 2025 | Q2 | 17870 | NBC SECURITIES, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | RBCCLEARINGCUSTODY |
| 2025 | Q2 | 16360 | NEEDHAM & COMPANY, LLC | No | NA | XML | |
| 2025 | Q2 | 13577 | NETWORK 1 FINANCIAL SECURITIES INC. | YES - Disclosure | AXOS CLEARING LLC | PDF|XML | |
| 2025 | Q2 | 2908 | NEUBERGER BERMAN BD LLC | No | NA | ||
| 2025 | Q2 | 104065 | NEWBRIDGE SECURITIES CORPORATION | No | NA | PDF|XML | |
| 2025 | Q2 | 10674 | NEWEDGE SECURITIES, LLC | No | NA | PDF|XML | |
| 2025 | Q2 | 46214 | NEXT FINANCIAL GROUP, INC. | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2025 | Q2 | 46214 | NEXT FINANCIAL GROUP, INC. | No | NA | PDF|XML | |
| 2025 | Q2 | 15768 | NOBLE CAPITAL MARKETS, INC. | No | NA | PDF|XML | |
| 2025 | Q2 | 4297 | NOMURA SECURITIES INTERNATIONAL, INC. | No | NA | PDF|XML | |
| 2025 | Q2 | 148158 | NORTH SOUTH CAPITAL, LLC | No | NA | PDF|XML | |
| 2025 | Q2 | 314549 | NORTHBOUND SECURITIES LLC | YES - Disclosure | DRIVEWEALTH, LLC | PDF|XML | |
| 2025 | Q2 | 7927 | NORTHERN TRUST SECURITIES, INC. | No | NA | PDF|XML | |
| 2025 | Q2 | 40258 | NORTHLAND SECURITIES, INC. | No | NA | PDF|XML | |
| 2025 | Q2 | 2881 | NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2025 | Q2 | 5167 | NYLIFE SECURITIES LLC | No | NA | PDF|XML | |
| 2025 | Q2 | 21000 | OAKWOOD CAPITAL SECURITIES, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | RBCCLEARINGCUSTODY |
| 2025 | Q2 | 21000 | OAKWOOD CAPITAL SECURITIES, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | RBCWEALTHMANAGEMENT |
| 2025 | Q2 | 21000 | OAKWOOD CAPITAL SECURITIES, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2025 | Q2 | 42060 | OBERWEIS SECURITIES, INC. | YES - Disclosure | NATIONAL FINANCIAL SERVICES LLC | PDF|XML | |
| 2025 | Q2 | 42060 | OBERWEIS SECURITIES, INC. | No | NA | PDF|XML | |
| 2025 | Q2 | 120002 | OBEX SECURITIES LLC | YES - Disclosure | INTERACTIVE BROKERS LLC | PDF|XML | |
| 2025 | Q2 | 148493 | ODEON CAPITAL GROUP LLC | No | NA | PDF|XML | |
| 2025 | Q2 | 281867 | OLD MISSION MARKETS LLC | No | NA | PDF|XML | |
| 2025 | Q2 | 173847 | OLDEN LANE SECURITIES, LLC | YES - Disclosure | HILLTOP SECURITIES INC. | XML |