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 | Q2 | 38105 | FMN CAPITAL CORPORATION | NO | NA | XML | |
| 2026 | Q2 | 319 | FOLGER NOLAN FLEMING DOUGLAS INCORPORATED | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2026 | Q2 | 290298 | FORTRESS PRIVATE LEDGER, LLC | YES - Disclosure | INTERACTIVE BROKERS LLC | PDF|XML | |
| 2026 | Q2 | 137945 | FOUNDERS FINANCIAL SECURITIES LLC | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2026 | Q2 | 17465 | FROST BROKERAGE SERVICES, INC. | NO | NA | ||
| 2026 | Q2 | 17486 | G. A. REPPLE & COMPANY | NO | NA | PDF|XML | |
| 2026 | Q2 | 7353 | G.RESEARCH, LLC | NO | NA | PDF|XML | |
| 2026 | Q2 | 103727 | GAGNON SECURITIES, LLC | NO | NA | XML | |
| 2026 | Q2 | 103727 | GAGNON SECURITIES, LLC | NO | NA | NFS | |
| 2026 | Q2 | 103727 | GAGNON SECURITIES, LLC | NO | NA | PDF|XML | S3 |
| 2026 | Q2 | 138033 | GAR WOOD SECURITIES, LLC | YES - Disclosure | INTERACTIVE BROKERS LLC | PDF|XML | |
| 2026 | Q2 | 28684 | GBM INTERNATIONAL, INC. | NO | NA | PDF|XML | |
| 2026 | Q2 | 120894 | GENEOS WEALTH MANAGEMENT, INC. | NO | NA | PDF|XML | |
| 2026 | Q2 | 2002 | GILDER GAGNON HOWE & CO. LLC | NO | NA | PDF|XML | |
| 2026 | Q2 | 1834 | GIRARD INVESTMENT SERVICES, LLC | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2026 | Q2 | 35699 | GLOBAL FINANCIAL SERVICES, L.L.C. | YES - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | PDF|XML | |
| 2026 | Q2 | 35699 | GLOBAL FINANCIAL SERVICES, L.L.C. | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2026 | Q2 | 29721 | GLOBALINK SECURITIES, INC. | YES - Disclosure | INTERACTIVE BROKERS LLC | PDF|XML | |
| 2026 | Q2 | 8000 | GMS GROUP | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2026 | Q2 | 48015 | GOLDMAN SACHS CUSTODY SOLUTIONS | NO | NA | PDF|XML | |
| 2026 | Q2 | 127701 | GRADIENT SECURITIES, LLC | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2026 | Q2 | 313305 | GREEN PIER FINTECH LLC | NO | NA | PDF|XML | |
| 2026 | Q2 | 7294 | GREGORY J. SCHWARTZ & CO., INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2026 | Q2 | 132187 | GRIFFINEST ASIA SECURITIES, LLC | NO | NA | PDF|XML | |
| 2026 | Q2 | 306364 | GTS EXECUTION SERVICES LLC | NO | NA | PDF|XML | |
| 2026 | Q2 | 128929 | GWN SECURITIES INC. | NO | NA | ||
| 2026 | Q2 | 375 | H.C.WAINWRIGHT & CO., LLC | NO | NA | PDF|XML | |
| 2026 | Q2 | 31741 | HALLIDAY FINANCIAL, LLC | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2026 | Q2 | 151085 | HARBOR INVESTMENT ADVISORY, LLC | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2026 | Q2 | 19258 | HARBOUR INVESTMENTS, INC. | NO | NA | ||
| 2026 | Q2 | 38993 | HEIM, YOUNG & ASSOCIATES, INC. | NO | NA | ||
| 2026 | Q2 | 131453 | HENLEY & COMPANY LLC | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2026 | Q2 | 3420 | HERBERT J. SIMS & CO, INC. | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2026 | Q2 | 30996 | HEROLD & LANTERN INVESTMENTS, INC. | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2026 | Q2 | 116681 | HIGHTOWER SECURITIES, LLC | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2026 | Q2 | 11643 | HORACE MANN INVESTORS, INC. | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2026 | Q2 | 4031 | HORNOR, TOWNSEND & KENT, LLC | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2026 | Q2 | 25425 | HOVDE GROUP, LLC | NO | NA | ||
| 2026 | Q2 | 19585 | HSBC SECURITIES (USA) INC. | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2026 | Q2 | 298809 | HUATAI SECURITIES (USA), INC. | NO | NA | PDF|XML | |
| 2026 | Q2 | 30177 | HUNTER ASSOCIATES LLC | NO | NA | PDF|XML | |
| 2026 | Q2 | 30177 | HUNTER ASSOCIATES LLC | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2026 | Q2 | 106032 | IDB CAPITAL CORP. | NO | NA | PDF|XML | |
| 2026 | Q2 | 106032 | IDB CAPITAL CORP. | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2026 | Q2 | 327903 | IFAST SECURITIES US CORPORATION | NO | NA | PDF|XML | |
| 2026 | Q2 | 297287 | IFP SECURITIES, LLC | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2026 | Q2 | 7717 | INDEPENDENT FINANCIAL GROUP, LLC | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2026 | Q2 | 144302 | INFINITY FINANCIAL SERVICES | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2026 | Q2 | 5611 | INSIGHT SECURITIES, INC. | YES - Disclosure | INTERACTIVE BROKERS LLC | PDF|XML | |
| 2026 | Q2 | 29249 | INSIGNEO SECURITIES, LLC | NO | NA | PDF|XML | |
| 2026 | Q2 | 317278 | INTER SECURITIES LLC | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2026 | Q2 | 36418 | INTERACTIVE BROKERS LLC | NO | NA | PDF|XML | |
| 2026 | Q2 | 10645 | INTERNATIONAL ASSETS ADVISORY, LLC | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2026 | Q2 | 6939 | INVESCO CAPITAL MARKETS, INC. | NO | NA | ||
| 2026 | Q2 | 14458 | INVESTMENT PLACEMENT GROUP | YES - Disclosure | PERSHING LLC | XML |