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 2101 - 2200 of 8594
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 | Q1 | 13609 | BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC. | No | NA | PDF|XML | |
| 2025 | Q1 | 47788 | BETTERMENT SECURITIES | YES - Disclosure | APEX CLEARING CORPORATION | PDF|XML | |
| 2025 | Q1 | 19801 | BGC FINANCIAL, L.P. | No | NA | PDF|XML | |
| 2025 | Q1 | 139665 | BHK SECURITIES, LLC | YES - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | PDF|XML | |
| 2025 | Q1 | 16686 | BMO CAPITAL MARKETS CORP. | No | NA | PDF|XML | |
| 2025 | Q1 | 44057 | BMO NESBITT BURNS SECURITIES LTD. | No | NA | PDF|XML | |
| 2025 | Q1 | 15794 | BNP PARIBAS SECURITIES CORP. | No | NA | PDF|XML | |
| 2025 | Q1 | 17454 | BNY MELLON CAPITAL MARKETS, LLC | No | NA | PDF|XML | |
| 2025 | Q1 | 231 | BNY MELLON SECURITIES CORPORATION | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2025 | Q1 | 283942 | BOFA SECURITIES, INC. | No | NA | PDF|XML | |
| 2025 | Q1 | 17530 | BOK FINANCIAL SECURITIES, INC. | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2025 | Q1 | 17530 | BOK FINANCIAL SECURITIES, INC. | No | NA | PDF|XML | |
| 2025 | Q1 | 15650 | BOLTON GLOBAL CAPITAL | No | NA | PDF|XML | |
| 2025 | Q1 | 158599 | BOREAL CAPITAL SECURITIES LLC | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2025 | Q1 | 159384 | BRASIL PLURAL SECURITIES LLC | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2025 | Q1 | 159384 | BRASIL PLURAL SECURITIES LLC | YES - Disclosure | INTERACTIVE BROKERS LLC | PDF|XML | |
| 2025 | Q1 | 3875 | BRIGHTON SECURITIES CORP. | YES - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | PDF|XML | |
| 2025 | Q1 | 38123 | BRINKER CAPITAL SECURITIES, LLC | YES - Disclosure | NATIONAL FINANCIAL SERVICES LLC | PDF|XML | |
| 2025 | Q1 | 104026 | BROAD STREET CAPITAL MARKETS, LLC | YES - Disclosure | AXOS CLEARING LLC | PDF|XML | |
| 2025 | Q1 | 114212 | BROADRIDGE BUSINESS PROCESS OUTSOURCING, LLC | YES - Disclosure | APEX CLEARING CORPORATION | PDF|XML | |
| 2025 | Q1 | 5049 | BROWN ASSOCIATES, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | RBCCLEARINGCUSTODY | |
| 2025 | Q1 | 5049 | BROWN ASSOCIATES, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | RBCWEALTHMANAGEMENT |
| 2025 | Q1 | 5049 | BROWN ASSOCIATES, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2025 | Q1 | 1331 | BROWN, LISLE/CUMMINGS, INC. | No | NA | PDF|XML | |
| 2025 | Q1 | 1331 | BROWN, LISLE/CUMMINGS, INC. | YES - Disclosure | NATIONAL FINANCIAL SERVICES LLC | PDF|XML | |
| 2025 | Q1 | 149486 | BTG PACTUAL US CAPITAL, LLC | No | NA | PDF|XML | |
| 2025 | Q1 | 122225 | BTIG, LLC | No | NA | PDF|XML | |
| 2025 | Q1 | 23407 | BUCKMAN, BUCKMAN & REID, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2025 | Q1 | 23407 | BUCKMAN, BUCKMAN & REID, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | RBCCLEARINGCUSTODY | |
| 2025 | Q1 | 23407 | BUCKMAN, BUCKMAN & REID, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | RBCWEALTHMANAGEMENT |
| 2025 | Q1 | 282480 | BULL MARKET SECURITIES, INC. | YES - Disclosure | STONEX FINANCIAL INC. | PDF|XML | |
| 2025 | Q1 | 104005 | BULLTICK, LLC | No | NA | PDF|XML | |
| 2025 | Q1 | 6183 | C. L. KING & ASSOCIATES, INC. | No | NA | ||
| 2025 | Q1 | 10641 | CADARET, GRANT & CO., INC. | No | NA | PDF|XML | |
| 2025 | Q1 | 10489 | CALDWELL SUTTER CAPITAL, INC. | No | NA | PDF|XML | |
| 2025 | Q1 | 20999 | CALTON & ASSOCIATES, INC. | YES - Disclosure | HILLTOP SECURITIES INC. | PDF|XML | |
| 2025 | Q1 | 20999 | CALTON & ASSOCIATES, INC. | YES - Disclosure | NATIONAL FINANCIAL SERVICES LLC | PDF|XML | |
| 2025 | Q1 | 39543 | CAMBRIDGE INVESTMENT RESEARCH, INC. | No | NA | PDF|XML | PERS |
| 2025 | Q1 | 39543 | CAMBRIDGE INVESTMENT RESEARCH, INC. | No | NA | PDF|XML | NFSC |
| 2025 | Q1 | 1020 | CANACCORD GENUITY LLC | No | NA | PDF|XML | |
| 2025 | Q1 | 134 | CANTOR FITZGERALD & CO. | No | NA | PDF|XML | |
| 2025 | Q1 | 7072 | CAPE SECURITIES INC. | YES - Disclosure | HILLTOP SECURITIES INC. | PDF|XML | |
| 2025 | Q1 | 126291 | CAPFINANCIAL SECURITIES, LLC. | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2025 | Q1 | 7551 | CAPIS | No | NA | PDF|XML | |
| 2025 | Q1 | 40657 | CAPITAL INVESTMENT BROKERAGE, INC. | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2025 | Q1 | 14752 | CAPITAL INVESTMENT GROUP, INC. | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2025 | Q1 | 10579 | CAPITAL MANAGEMENT SECURITIES, INC. | No | HILLTOP SECURITIES INC. | PDF|XML | |
| 2025 | Q1 | 44158 | CAPITAL ONE SECURITIES, INC. | No | NA | PDF|XML | |
| 2025 | Q1 | 44158 | CAPITAL ONE SECURITIES, INC. | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2025 | Q1 | 148733 | CAPITAL SYNERGY PARTNERS | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | RBCWEALTHMANAGEMENT |
| 2025 | Q1 | 148733 | CAPITAL SYNERGY PARTNERS | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2025 | Q1 | 148733 | CAPITAL SYNERGY PARTNERS | YES - Disclosure | RBC CAPITAL MARKETS, LLC | RBCCLEARINGCUSTODY |