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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 301 - 400 of 4703 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.
2024 Q4 30833 CENTAURUS FINANCIAL, INC. YES - Disclosure CHARLES SCHWAB & CO., INC. PDF|XML
2024 Q4 30833 CENTAURUS FINANCIAL, INC. YES - Disclosure PERSHING LLC XML
2024 Q4 155291 CENTRAL STATES CAPITAL MARKETS, LLC YES - Disclosure HILLTOP SECURITIES INC. PDF|XML
2024 Q4 37869 CEROS FINANCIAL SERVICES, INC. YES - Disclosure AXOS CLEARING LLC PDF|XML
2024 Q4 37869 CEROS FINANCIAL SERVICES, INC. YES - Disclosure NATIONAL FINANCIAL SERVICES LLC PDF|XML
2024 Q4 37869 CEROS FINANCIAL SERVICES, INC. No NA PDF|XML
2024 Q4 13572 CETERA ADVISOR NETWORKS LLC No NA PDF|XML
2024 Q4 10299 CETERA ADVISORS LLC No NA PDF|XML
2024 Q4 10358 CETERA FINANCIAL SPECIALISTS LLC No NA PDF|XML
2024 Q4 15340 CETERA INVESTMENT SERVICES LLC No NA PDF|XML
2024 Q4 25427 CFD INVESTMENTS, INC. No NA PDF|XML
2024 Q4 28116 CHAPIN, DAVIS YES - Disclosure WELLS FARGO CLEARING SERVICES, LLC PDF|XML
2024 Q4 5393 CHARLES SCHWAB & CO., INC. No NA PDF|XML
2024 Q4 47770 CHELSEA FINANCIAL SERVICES YES - Disclosure HILLTOP SECURITIES INC. PDF|XML
2024 Q4 128711 CHICKASAW SECURITIES, LLC No NA PDF|XML
2024 Q4 166318 CHINA RENAISSANCE SECURITIES (US) INC. No NA PDF|XML
2024 Q4 104021 CHOICETRADE No NA PDF|XML
2024 Q4 39462 CHURCHILL FINANCIAL, LLC YES - Disclosure NATIONAL FINANCIAL SERVICES LLC PDF|XML
2024 Q4 39462 CHURCHILL FINANCIAL, LLC No NA PDF|XML
2024 Q4 630 CIBC WORLD MARKETS CORP. No NA PDF
2024 Q4 143221 CICC US SECURITIES, INC. YES - Disclosure BTIG, LLC PDF|XML
2024 Q4 143221 CICC US SECURITIES, INC. YES - Disclosure CLEARPOOL EXECUTION SERVICES, LLC PDF|XML
2024 Q4 143221 CICC US SECURITIES, INC. No NA PDF|XML
2024 Q4 281102 CITADEL SECURITIES INSTITUTIONAL LLC No NA PDF|XML
2024 Q4 7059 CITIGROUP GLOBAL MARKETS INC. No NA PDF|XML SBSH
2024 Q4 7059 CITIGROUP GLOBAL MARKETS INC. No NA PDF|XML CGWM
2024 Q4 22208 CITIZENS JMP SECURITIES, LLC No NA PDF|XML
2024 Q4 103705 CITY NATIONAL SECURITIES, INC. YES - Disclosure NATIONAL FINANCIAL SERVICES LLC PDF|XML
2024 Q4 103705 CITY NATIONAL SECURITIES, INC. No NA XML
2024 Q4 30882 CLARKSONS SECURITIES, INC No NA PDF|XML
2024 Q4 288933 CLEAR STREET LLC No NA PDF|XML
2024 Q4 168490 CLEARPOOL EXECUTION SERVICES, LLC No NA PDF|XML
2024 Q4 165533 CLSA AMERICAS, LLC No NA PDF|XML
2024 Q4 18466 CNR SECURITIES, LLC YES - Disclosure PERSHING LLC PDF|XML
2024 Q4 18466 CNR SECURITIES, LLC No NA PDF
2024 Q4 132078 COBRA TRADING, INC. YES - Disclosure WEDBUSH SECURITIES INC. PDF|XML
2024 Q4 132078 COBRA TRADING, INC. YES - Disclosure INTERACTIVE BROKERS LLC PDF
2024 Q4 29163 COKER & PALMER YES - Disclosure RBC CAPITAL MARKETS, LLC PDF|XML RBCCLEARINGCUSTODY
2024 Q4 29163 COKER & PALMER YES - Disclosure RBC CAPITAL MARKETS, LLC PDF|XML
2024 Q4 29163 COKER & PALMER YES - Disclosure RBC CAPITAL MARKETS, LLC PDF|XML RBCWEALTHMANAGEMENT
2024 Q4 7477 COLLIERS SECURITIES LLC No NA PDF|XML INFO
2024 Q4 3013 COLONIAL SECURITIES, INC. YES - Disclosure HILLTOP SECURITIES INC. PDF|XML
2024 Q4 104343 COLORADO FINANCIAL SERVICE CORPORATION YES - Disclosure HILLTOP SECURITIES INC. PDF|XML
2024 Q4 8032 COMMONWEALTH FINANCIAL NETWORK YES - Disclosure PERSHING LLC PDF|XML
2024 Q4 8032 COMMONWEALTH FINANCIAL NETWORK No NA PDF|XML PERS
2024 Q4 8032 COMMONWEALTH FINANCIAL NETWORK YES - Disclosure NATIONAL FINANCIAL SERVICES LLC PDF|XML
2024 Q4 8032 COMMONWEALTH FINANCIAL NETWORK No NA PDF|XML NFSC
2024 Q4 126258 COMPASS POINT RESEARCH & TRADING, LLC No NA PDF|XML
2024 Q4 325118 COMPOSER SECURITIES LLC YES - Disclosure APEX CLEARING CORPORATION PDF|XML
2024 Q4 325118 COMPOSER SECURITIES LLC YES - Disclosure ALPACA SECURITIES LLC PDF|XML
2024 Q4 15708 CONCOURSE FINANCIAL GROUP SECURITIES, INC. YES - Disclosure PERSHING LLC PDF|XML
2024 Q4 15708 CONCOURSE FINANCIAL GROUP SECURITIES, INC. No NA PDF
2024 Q4 18810 CONSOLIDATED FINANCIAL INVESTMENTS, INC. YES - Disclosure RBC CAPITAL MARKETS, LLC XML RBCWEALTHMANAGEMENT
2024 Q4 18810 CONSOLIDATED FINANCIAL INVESTMENTS, INC. YES - Disclosure RBC CAPITAL MARKETS, LLC XML