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 201 - 300 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 | 30177 | HUNTER ASSOCIATES LLC | No | NA | PDF|XML | INFO |
| 2025 | Q3 | 106032 | IDB CAPITAL CORP. | No | NA | PDF|XML | |
| 2025 | Q3 | 301273 | IMC EXECUTION SERVICES | No | NA | PDF|XML | |
| 2025 | Q3 | 140278 | INLET SECURITIES, LLC | YES - Disclosure | AXOS CLEARING LLC | PDF|XML | |
| 2025 | Q3 | 5611 | INSIGHT SECURITIES, INC. | YES - Disclosure | AXOS CLEARING LLC | PDF|XML | |
| 2025 | Q3 | 29249 | INSIGNEO SECURITIES, LLC | No | NA | PDF|XML | |
| 2025 | Q3 | 139627 | INTEGRITY ALLIANCE, LLC. | No | NA | PDF|XML | |
| 2025 | Q3 | 317278 | INTER&CO SECURITIES LLC | YES - Disclosure | DRIVEWEALTH, LLC | PDF|XML | |
| 2025 | Q3 | 10645 | INTERNATIONAL ASSETS ADVISORY, LLC | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2025 | Q3 | 19418 | INTESA SANPAOLO IMI SECURITIES CORP. | No | NA | PDF|XML | |
| 2025 | Q3 | 6939 | INVESCO CAPITAL MARKETS, INC. | No | NA | ||
| 2025 | Q3 | 463 | JANNEY MONTGOMERY SCOTT LLC | No | NA | PDF|XML | |
| 2025 | Q3 | 19524 | JOHNSON RICE & COMPANY L.L.C. | No | NA | PDF|XML | |
| 2025 | Q3 | 24795 | JOSEPH GUNNAR & CO. LLC | No | NA | PDF|XML | |
| 2025 | Q3 | 24795 | JOSEPH GUNNAR & CO. LLC | No | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2025 | Q3 | 32029 | KA ASSOCIATES, LLC | No | NA | PDF|XML | |
| 2025 | Q3 | 139148 | KEPLER CAPITAL MARKETS, INC. | No | NA | PDF|XML | |
| 2025 | Q3 | 42046 | KESTRA INVESTMENT SERVICES, LLC | No | NA | ||
| 2025 | Q3 | 136300 | KEY INVESTMENT SERVICES LLC | No | NA | PDF|XML | |
| 2025 | Q3 | 566 | KEYBANC CAPITAL MARKETS INC. | No | NA | PDF|XML | |
| 2025 | Q3 | 288898 | KINGSWOOD CAPITAL PARTNERS, LLC | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2025 | Q3 | 288898 | KINGSWOOD CAPITAL PARTNERS, LLC | YES - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | PDF|XML | |
| 2025 | Q3 | 104158 | KOREA INVESTMENT & SECURITIES AMERICA, INC. | No | NA | PDF|XML | |
| 2025 | Q3 | 27913 | L.M. KOHN & COMPANY | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2025 | Q3 | 164447 | LAKE STREET CAPITAL MARKETS, LLC | No | NA | ||
| 2025 | Q3 | 43706 | LAMPOST CAPITAL, L.C. | No | NA | PDF|XML | |
| 2025 | Q3 | 28352 | LANDOLT SECURITIES, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2025 | Q3 | 7191 | LASALLE ST SECURITIES, L.L.C. | No | NA | PDF|XML | |
| 2025 | Q3 | 7874 | LBMZ SECURITIES, INC. | No | NA | PDF|XML | |
| 2025 | Q3 | 38751 | LEIGH BALDWIN & CO., LLC | No | NA | PDF|XML | |
| 2025 | Q3 | 18234 | LEMLEY, YARLING & CO. | No | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2025 | Q3 | 25700 | LEVEL FOUR FINANCIAL, LLC | YES - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | PDF|XML | |
| 2025 | Q3 | 43098 | LOOP CAPITAL MARKETS LLC | No | NA | PDF|XML | |
| 2025 | Q3 | 17358 | M&T SECURITIES, INC. | No | NA | PDF|XML | |
| 2025 | Q3 | 104100 | M. S. HOWELLS & CO. | No | NA | PDF|XML | |
| 2025 | Q3 | 36368 | MACQUARIE CAPITAL (USA) INC. | No | NA | PDF|XML | |
| 2025 | Q3 | 285406 | MADISON GLOBAL PARTNERS LLC | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2025 | Q3 | 283701 | MARKET SECURITIES, LLC | No | NA | PDF|XML | |
| 2025 | Q3 | 135414 | MCDONALD PARTNERS LLC | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2025 | Q3 | 140988 | MD GLOBAL PARTNERS, LLC | No | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2025 | Q3 | 2764 | MESIROW FINANCIAL, INC. | No | NA | PDF|XML | |
| 2025 | Q3 | 21544 | MIDDLEGATE SECURITIES INC. | No | NA | PDF|XML | |
| 2025 | Q3 | 101080 | MIDWESTERN SECURITIES TRADING COMPANY, LLC | No | NA | PDF|XML | |
| 2025 | Q3 | 30679 | MIRAE ASSET SECURITIES (USA) INC. | No | NA | ||
| 2025 | Q3 | 37818 | MISCHLER FINANCIAL GROUP, INC. | No | NA | PDF|XML | |
| 2025 | Q3 | 10409 | MML INVESTORS SERVICES, LLC | No | NA | PDF|XML | |
| 2025 | Q3 | 38535 | MOLONEY SECURITIES CO., INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2025 | Q3 | 309574 | MONDEUM CAPITAL | No | NA | PDF|XML | |
| 2025 | Q3 | 12963 | MONEY CONCEPTS CAPITAL CORP | No | NA | ||
| 2025 | Q3 | 594 | MOORS & CABOT, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2025 | Q3 | 44807 | MORGAN WILSHIRE SECURITIES, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2025 | Q3 | 19685 | MUFG SECURITIES AMERICAS INC. | No | NA | PDF|XML | |
| 2025 | Q3 | 13092 | MUTUAL SECURITIES, INC. | No | NA |