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NMS Equity and Option Order Routing Reports (SEC Rule 606(a) Reports)

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

Date Submitted
Displaying 3001 - 3011 of 3011 Glossary
Year Quarter Firm CRD Firm Order Routing / Clearing Firm Date Submitted Sort ascending Report Type Context
2024 Q2 19685 MUFG SECURITIES AMERICAS INC. Self 07/08/2024 PDF
2024 Q2 1042 ALLEN & COMPANY LLC Self 07/08/2024 PDF
2024 Q2 120894 GENEOS WEALTH MANAGEMENT, INC. Self 07/08/2024 PDF
2024 Q2 19685 MUFG SECURITIES AMERICAS INC. Self 07/08/2024 XML
2024 Q2 126258 COMPASS POINT RESEARCH & TRADING, LLC Self 07/08/2024 PDF
2024 Q2 7976 GORDON, HASKETT CAPITAL CORPORATION Self 07/08/2024 PDF
2024 Q2 1042 ALLEN & COMPANY LLC Self 07/08/2024 XML
2024 Q2 165533 CLSA AMERICAS, LLC Self 07/08/2024 PDF
2024 Q2 143221 CICC US SECURITIES, INC. Self 07/03/2024 PDF
2024 Q2 309574 MONDEUM CAPITAL Self 07/02/2024 PDF
2024 Q2 309574 MONDEUM CAPITAL Self 07/02/2024 XML