For the Public
FINRA Data provides non-commercial use of data, specifically the ability to save data views and create and manage a Bond Watchlist.
For Industry Professionals
Registered representatives can fulfill Continuing Education requirements, view their industry CRD record and perform other compliance tasks.
For Member Firms
Firm compliance professionals can access filings and requests, run reports and submit support tickets.
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.
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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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| 2026 | Q3 | 112630 | MWA FINANCIAL SERVICES INC. | NO | NA | XML | |
| 2026 | Q3 | 39455 | NATALLIANCE SECURITIES, LLC | NO | NA | PDF|XML | |
| 2026 | Q3 | 31029 | NATIONWIDE PLANNING ASSOCIATES INC. | NO | NA | ||
| 2026 | Q3 | 1101 | NATIXIS SECURITIES AMERICAS LLC | NO | NA | ||
| 2026 | Q3 | 2908 | NEUBERGER BERMAN BD LLC | NO | NA | PDF|XML | |
| 2026 | Q3 | 15768 | NOBLE CAPITAL MARKETS, INC. | NO | NA | PDF|XML | |
| 2026 | Q3 | 40258 | NORTHLAND SECURITIES, INC. | NO | NA | PDF|XML | |
| 2026 | Q3 | 5167 | NYLIFE SECURITIES LLC | NO | NA | PDF|XML | |
| 2026 | Q3 | 21000 | OAKWOOD CAPITAL SECURITIES, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2026 | Q3 | 42060 | OBERWEIS SECURITIES, INC. | NO | NA | PDF|XML | |
| 2026 | Q3 | 29753 | ORIENTAL FINANCIAL SERVICES LLC | NO | NA | PDF|XML | |
| 2026 | Q3 | 35371 | OSAIC INSTITUTIONS, INC. | NO | NA | PDF|XML | |
| 2026 | Q3 | 281065 | OUTSET GLOBAL TRADING LIMITED | NO | NA | PDF|XML | |
| 2026 | Q3 | 134657 | PAR5 CAPITAL & CO LLC | NO | NA | PDF|XML | |
| 2026 | Q3 | 145994 | PENSERRA SECURITIES, LLC | NO | NA | PDF|XML | PNSR |
| 2026 | Q3 | 145994 | PENSERRA SECURITIES, LLC | NO | NA | PDF|XML | CHBC |
| 2026 | Q3 | 104387 | PGM GLOBAL INC. | NO | NA | PDF|XML | |
| 2026 | Q3 | 36500 | PICTET OVERSEAS INC. | NO | NA | PDF|XML | |
| 2026 | Q3 | 11869 | PLANMEMBER SECURITIES CORPORATION | NO | NA | PDF|XML | |
| 2026 | Q3 | 38901 | PLP CAPITAL | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2026 | Q3 | 32889 | PRIME EXECUTIONS, INC. | NO | NA | PDF|XML | |
| 2026 | Q3 | 120222 | PRIVATE CLIENT SERVICES, LLC | NO | NA | PDF|XML | |
| 2026 | Q3 | 304587 | PUENTE SERVICIOS FINANCIEROS LLC | NO | NA | PDF|XML | |
| 2026 | Q3 | 35747 | PURSHE KAPLAN STERLING INVESTMENTS | NO | NA | PDF|XML | |
| 2026 | Q3 | 321974 | PWA SECURITIES, LLC | YES - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | PDF|XML | |
| 2026 | Q3 | 2498 | R. F. LAFFERTY & CO., INC. | NO | NA | PDF|XML | |
| 2026 | Q3 | 705 | RAYMOND JAMES & ASSOCIATES, INC. | NO | NA | PDF|XML | |
| 2026 | Q3 | 6694 | RAYMOND JAMES FINANCIAL SERVICES, INC. | YES - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | PDF|XML | |
| 2026 | Q3 | 31194 | RBC CAPITAL MARKETS, LLC | NO | NA | PDF|XML | |
| 2026 | Q3 | 7297 | REGAL SECURITIES, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2026 | Q3 | 14178 | REVERE SECURITIES LLC | NO | NA | PDF|XML | |
| 2026 | Q3 | 21606 | RICE FINANCIAL PRODUCTS COMPANY | NO | NA | ||
| 2026 | Q3 | 30812 | RIEDL FIRST SECURITIES COMPANY OF KANSAS | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2026 | Q3 | 19456 | ROBERTS & RYAN, INC. | NO | NA | ||
| 2026 | Q3 | 13251 | ROBOTTI SECURITIES, LLC | NO | NA | ||
| 2026 | Q3 | 18377 | ROSENBLATT SECURITIES INC. | NO | NA | PDF|XML | |
| 2026 | Q3 | 140564 | ROTHSCHILD & CO REDBURN | NO | NA | XML | |
| 2026 | Q3 | 290605 | SAN BLAS SECURITIES LLC | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2026 | Q3 | 205 | SANCTUARY SECURITIES, INC. | NO | NA | PDF|XML | |
| 2026 | Q3 | 41791 | SANTANDER SECURITIES LLC | NO | NA | PDF|XML | |
| 2026 | Q3 | 115547 | SAXONY SECURITIES, INC. | NO | NA | PDF|XML | |
| 2026 | Q3 | 2739 | SCOTIA CAPITAL (USA) INC. | NO | NA | PDF|XML | |
| 2026 | Q3 | 315218 | SEMINARIO SECURITIES | NO | NA | PDF|XML | MPID |
| 2026 | Q3 | 3441 | SMITH, MOORE & CO. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2026 | Q3 | 107403 | SPEEDTRADER, INC | NO | NA | PDF|XML | |
| 2026 | Q3 | 35878 | SPROTT GLOBAL RESOURCE INVESTMENTS LTD | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2026 | Q3 | 43036 | STATE FARM VP MANAGEMENT CORP. | NO | NA | PDF|XML | |
| 2026 | Q3 | 285852 | STATE STREET GLOBAL MARKETS, LLC | NO | NA | PDF|XML | |
| 2026 | Q3 | 3496 | STEPHENS | NO | NA | PDF|XML | |
| 2026 | Q3 | 1254 | STEWARD PARTNERS INVESTMENT SOLUTIONS, LLC | YES - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | PDF|XML | |
| 2026 | Q3 | 42180 | SUNBELT SECURITIES, INC. | NO | NA | PDF|XML | |
| 2026 | Q3 | 14023 | SYNOVUS SECURITIES, INC. | NO | NA | PDF|XML | |
| 2026 | Q3 | 8348 | T. ROWE PRICE INVESTMENT SERVICES, INC. | NO | NA | PDF|XML | |
| 2026 | Q3 | 10571 | T.R. WINSTON & COMPANY, LLC | NO | NA |