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 2601 - 2700 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 | 124504 | GLEN EAGLE WEALTH, LLC | No | NA | PDF|XML | SPGLOBAL |
| 2025 | Q1 | 123649 | GLENDALE SECURITIES, INC. | No | NA | PDF|XML | |
| 2025 | Q1 | 37505 | GLOBAL BROKERAGE SERVICES, INC. | YES - Disclosure | HILLTOP SECURITIES INC. | PDF|XML | |
| 2025 | Q1 | 35699 | GLOBAL FINANCIAL SERVICES, L.L.C. | YES - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | PDF|XML | EQUITY |
| 2025 | Q1 | 35699 | GLOBAL FINANCIAL SERVICES, L.L.C. | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2025 | Q1 | 35699 | GLOBAL FINANCIAL SERVICES, L.L.C. | YES - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | PDF|XML | OPTIONS |
| 2025 | Q1 | 29721 | GLOBALINK SECURITIES, INC. | No | NA | PDF|XML | |
| 2025 | Q1 | 29721 | GLOBALINK SECURITIES, INC. | No | WEDBUSH SECURITIES INC. | XML | |
| 2025 | Q1 | 29721 | GLOBALINK SECURITIES, INC. | No | INTERACTIVE BROKERS LLC | PDF|XML | |
| 2025 | Q1 | 361 | GOLDMAN SACHS & CO. LLC | No | NA | PDF|XML | |
| 2025 | Q1 | 48015 | GOLDMAN SACHS CUSTODY SOLUTIONS | No | NA | PDF|XML | |
| 2025 | Q1 | 7976 | GORDON, HASKETT CAPITAL CORPORATION | No | NA | PDF|XML | |
| 2025 | Q1 | 127701 | GRADIENT SECURITIES, LLC | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2025 | Q1 | 127701 | GRADIENT SECURITIES, LLC | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | RBCWEALTHMANAGEMENT |
| 2025 | Q1 | 127701 | GRADIENT SECURITIES, LLC | YES - Disclosure | RBC CAPITAL MARKETS, LLC | RBCCLEARINGCUSTODY | |
| 2025 | Q1 | 114203 | GREAT POINT CAPITAL LLC | No | NA | PDF|XML | |
| 2025 | Q1 | 313305 | GREEN PIER FINTECH LLC | No | NA | PDF|XML | |
| 2025 | Q1 | 7294 | GREGORY J. SCHWARTZ & CO., INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2025 | Q1 | 7294 | GREGORY J. SCHWARTZ & CO., INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | XML | RBCWEALTHMANAGEMENT |
| 2025 | Q1 | 7294 | GREGORY J. SCHWARTZ & CO., INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | RBCCLEARINGCUSTODY | |
| 2025 | Q1 | 119004 | GRIFFIN FINANCIAL GROUP, LLC | YES - Disclosure | WEDBUSH SECURITIES INC. | PDF|XML | |
| 2025 | Q1 | 132187 | GRIFFINEST ASIA SECURITIES, LLC | No | NA | PDF|XML | |
| 2025 | Q1 | 1763 | GROVE POINT INVESTMENTS, LLC | No | NA | PDF|XML | |
| 2025 | Q1 | 315499 | GTN AMERICAS FINANCIAL SERVICES | No | NA | PDF|XML | |
| 2025 | Q1 | 306364 | GTS EXECUTION SERVICES LLC | No | NA | PDF|XML | |
| 2025 | Q1 | 40638 | GUGGENHEIM SECURITIES, LLC | No | NA | PDF|XML | |
| 2025 | Q1 | 38923 | GVC CAPITAL LLC | YES - Disclosure | HILLTOP SECURITIES INC. | PDF|XML | |
| 2025 | Q1 | 128929 | GWN SECURITIES INC. | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2025 | Q1 | 128929 | GWN SECURITIES INC. | No | NA | ||
| 2025 | Q1 | 375 | H.C.WAINWRIGHT & CO., LLC | No | NA | PDF|XML | |
| 2025 | Q1 | 31741 | HALLIDAY FINANCIAL, LLC | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2025 | Q1 | 46047 | HANTZ FINANCIAL SERVICES, INC. | YES - Disclosure | HILLTOP SECURITIES INC. | PDF|XML | |
| 2025 | Q1 | 311868 | HAPI | YES - Disclosure | APEX CLEARING CORPORATION | PDF|XML | |
| 2025 | Q1 | 151085 | HARBOR INVESTMENT ADVISORY, LLC | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2025 | Q1 | 19258 | HARBOUR INVESTMENTS, INC. | No | NA | ||
| 2025 | Q1 | 396 | HAZLETT, BURT & WATSON, INC. | YES - Disclosure | NATIONAL FINANCIAL SERVICES LLC | PDF|XML | |
| 2025 | Q1 | 131453 | HENLEY & COMPANY LLC | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2025 | Q1 | 25766 | HENNION & WALSH, INC. | YES - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | PDF|XML | |
| 2025 | Q1 | 3420 | HERBERT J. SIMS & CO, INC. | No | NA | PDF|XML | |
| 2025 | Q1 | 44971 | HERNDON PLANT OAKLEY, LTD. | YES - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | PDF|XML | |
| 2025 | Q1 | 30996 | HEROLD & LANTERN INVESTMENTS, INC. | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2025 | Q1 | 116681 | HIGHTOWER SECURITIES, LLC | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2025 | Q1 | 116681 | HIGHTOWER SECURITIES, LLC | YES - Disclosure | NATIONAL FINANCIAL SERVICES LLC | PDF|XML | |
| 2025 | Q1 | 6220 | HILLTOP SECURITIES INC. | No | NA | PDF|XML | |
| 2025 | Q1 | 46001 | HOLISTIC BROKERAGE, LLC | No | NA | ||
| 2025 | Q1 | 11643 | HORACE MANN INVESTORS, INC. | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2025 | Q1 | 11643 | HORACE MANN INVESTORS, INC. | No | NA | PDF|XML | |
| 2025 | Q1 | 4031 | HORNOR, TOWNSEND & KENT, LLC | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2025 | Q1 | 25425 | HOVDE GROUP, LLC | No | NA | ||
| 2025 | Q1 | 19585 | HSBC SECURITIES (USA) INC. | No | NA | PDF|XML | |
| 2025 | Q1 | 298809 | HUATAI SECURITIES (USA), INC. | No | NA | PDF|XML | |
| 2025 | Q1 | 30177 | HUNTER ASSOCIATES LLC | No | NA | PDF|XML | INFO |
| 2025 | Q1 | 30177 | HUNTER ASSOCIATES LLC | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2025 | Q1 | 7456 | HUNTLEIGH SECURITIES CORPORATION | YES - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | PDF|XML |