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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 7139 Glossary
Calendar year for which a firm submits an SEC Rule 606(a) report.
Calendar quarter for which a firm submits an SEC Rule 606(a) report.
CRD of the firm submitting the SEC Rule 606(a) report or adopting a clearing firm's report.
Name of the firm submitting the SEC Rule 606(a) report or adopting a clearing firm's report.
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.
Provides the name of the clearing firm whose report the member identified in the “Firm” field is adopting by reference.
606(a) Report
Link to download the SEC Rule 606(a) report in a PDF or XML format.
A free form field used by firms to provide additional information in connection with the submission of SEC Rule 606(a) reports.
2025 Q2 375 H.C.WAINWRIGHT & CO., LLC No NA XML
2025 Q2 31741 HALLIDAY FINANCIAL, LLC YES - Disclosure PERSHING LLC PDF|XML
2025 Q2 151085 HARBOR INVESTMENT ADVISORY, LLC YES - Disclosure PERSHING LLC PDF|XML
2025 Q2 131453 HENLEY & COMPANY LLC YES - Disclosure PERSHING LLC PDF|XML
2025 Q2 3420 HERBERT J. SIMS & CO, INC. No NA PDF
2025 Q2 30996 HEROLD & LANTERN INVESTMENTS, INC. YES - Disclosure PERSHING LLC PDF|XML
2025 Q2 116681 HIGHTOWER SECURITIES, LLC YES - Disclosure PERSHING LLC PDF|XML
2025 Q2 11643 HORACE MANN INVESTORS, INC. YES - Disclosure PERSHING LLC PDF|XML
2025 Q2 4031 HORNOR, TOWNSEND & KENT, LLC YES - Disclosure PERSHING LLC PDF|XML
2025 Q2 298809 HUATAI SECURITIES (USA), INC. No NA PDF|XML
2025 Q2 30177 HUNTER ASSOCIATES LLC No NA PDF|XML INFO
2025 Q2 30177 HUNTER ASSOCIATES LLC YES - Disclosure PERSHING LLC PDF|XML
2025 Q2 106032 IDB CAPITAL CORP. YES - Disclosure PERSHING LLC PDF|XML
2025 Q2 106032 IDB CAPITAL CORP. No NA PDF|XML
2025 Q2 297287 IFP SECURITIES, LLC YES - Disclosure PERSHING LLC PDF|XML
2025 Q2 7717 INDEPENDENT FINANCIAL GROUP, LLC YES - Disclosure PERSHING LLC PDF|XML
2025 Q2 29249 INSIGNEO SECURITIES, LLC No NA PDF|XML
2025 Q2 317278 INTER&CO SECURITIES LLC No NA PDF
2025 Q2 146667 INTERCAM SECURITIES, INC. YES - Disclosure PERSHING LLC PDF|XML
2025 Q2 6939 INVESCO CAPITAL MARKETS, INC. No NA PDF
2025 Q2 14458 INVESTMENT PLACEMENT GROUP YES - Disclosure PERSHING LLC PDF|XML
2025 Q2 30032 INVEX, LLC. YES - Disclosure PERSHING LLC PDF|XML
2025 Q2 19524 JOHNSON RICE & COMPANY L.L.C. No NA PDF|XML
2025 Q2 24795 JOSEPH GUNNAR & CO. LLC No NA PDF|XML
2025 Q2 156175 KAYAN SECURITIES, INC. YES - Disclosure WEDBUSH SECURITIES INC. PDF|XML
2025 Q2 42046 KESTRA INVESTMENT SERVICES, LLC No NA PDF|XML
2025 Q2 136300 KEY INVESTMENT SERVICES LLC No NA PDF|XML
2025 Q2 566 KEYBANC CAPITAL MARKETS INC. No NA PDF|XML
2025 Q2 2440 KIMELMAN & BAIRD, LLC No NA PDF|XML
2025 Q2 104158 KOREA INVESTMENT & SECURITIES AMERICA, INC. No NA PDF|XML
2025 Q2 44848 KOVACK SECURITIES INC. YES - Disclosure PERSHING LLC PDF|XML
2025 Q2 164447 LAKE STREET CAPITAL MARKETS, LLC No NA PDF|XML
2025 Q2 43706 LAMPOST CAPITAL, L.C. No NA PDF|XML
2025 Q2 47487 LANDAAS & COMPANY YES - Disclosure PERSHING LLC PDF|XML
2025 Q2 7191 LASALLE ST SECURITIES, L.L.C. No NA PDF|XML
2025 Q2 43098 LOOP CAPITAL MARKETS LLC No NA PDF|XML
2025 Q2 43285 M HOLDINGS SECURITIES, INC. YES - Disclosure PERSHING LLC PDF|XML
2025 Q2 104100 M. S. HOWELLS & CO. No NA PDF|XML
2025 Q2 36368 MACQUARIE CAPITAL (USA) INC. No NA PDF|XML
2025 Q2 23224 MADISON AVENUE SECURITIES, LLC YES - Disclosure PERSHING LLC PDF|XML
2025 Q2 147529 MCLAUGHLIN RYDER INVESTMENTS, INC. YES - Disclosure PERSHING LLC PDF|XML
2025 Q2 2764 MESIROW FINANCIAL, INC. No NA PDF|XML
2025 Q2 37818 MISCHLER FINANCIAL GROUP, INC. No NA PDF|XML
2025 Q2 146193 MIURA CAPITAL, LLC YES - Disclosure PERSHING LLC PDF|XML
2025 Q2 146193 MIURA CAPITAL, LLC No NA PDF
2025 Q2 309574 MONDEUM CAPITAL No NA PDF|XML
2025 Q2 12963 MONEY CONCEPTS CAPITAL CORP YES - Disclosure PERSHING LLC PDF|XML
2025 Q2 12963 MONEY CONCEPTS CAPITAL CORP No NA PDF
2025 Q2 154327 MSEC, LLC No NA PDF|XML
2025 Q2 19685 MUFG SECURITIES AMERICAS INC. No NA PDF|XML
2025 Q2 611 MUTUAL OF OMAHA INVESTOR SERVICES, INC. YES - Disclosure PERSHING LLC PDF|XML
2025 Q2 13092 MUTUAL SECURITIES, INC. No NA PDF|XML
2025 Q2 39455 NATALLIANCE SECURITIES, LLC No NA PDF|XML