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 401 - 500 of 9122
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 | Q3 | 291361 | ROCKEFELLER FINANCIAL LLC | No | NA | XML | |
| 2025 | Q3 | 290605 | SAN BLAS SECURITIES LLC | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2025 | Q3 | 290605 | SAN BLAS SECURITIES LLC | No | NA | ||
| 2025 | Q3 | 205 | SANCTUARY SECURITIES, INC. | No | NA | PDF|XML | |
| 2025 | Q3 | 41791 | SANTANDER SECURITIES LLC | No | NA | PDF|XML | |
| 2025 | Q3 | 115547 | SAXONY SECURITIES, INC. | No | NA | PDF|XML | |
| 2025 | Q3 | 2739 | SCOTIA CAPITAL (USA) INC. | No | NA | XML | |
| 2025 | Q3 | 8330 | SEAPORT SECURITIES CORP. | No | NA | XML | |
| 2025 | Q3 | 759 | SECURITIES MANAGEMENT & RESEARCH, INC. | No | NA | PDF|XML | |
| 2025 | Q3 | 14303 | SIGMA FINANCIAL CORPORATION | No | NA | PDF|XML | |
| 2025 | Q3 | 3441 | SMITH, MOORE & CO. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2025 | Q3 | 43035 | SOUTHEAST INVESTMENTS, N.C., INC. | YES - Disclosure | AXOS CLEARING LLC | PDF|XML | |
| 2025 | Q3 | 167663 | SOVEREIGN GLOBAL ADVISORS LLC | YES - Disclosure | WEDBUSH SECURITIES INC. | PDF|XML | |
| 2025 | Q3 | 146251 | SPARTAN CAPITAL SECURITIES, LLC | YES - Disclosure | AXOS CLEARING LLC | PDF|XML | |
| 2025 | Q3 | 8300 | SPENCER-WINSTON SECURITIES CORPORATION | YES - Disclosure | WEDBUSH SECURITIES INC. | PDF|XML | |
| 2025 | Q3 | 35878 | SPROTT GLOBAL RESOURCE INVESTMENTS LTD | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2025 | Q3 | 285852 | STATE STREET GLOBAL MARKETS, LLC | No | NA | PDF|XML | |
| 2025 | Q3 | 1254 | STEWARD PARTNERS INVESTMENT SOLUTIONS, LLC | YES - Disclosure | GOLDMAN SACHS CUSTODY SOLUTIONS | PDF|XML | |
| 2025 | Q3 | 42180 | SUNBELT SECURITIES, INC. | No | NA | PDF|XML | |
| 2025 | Q3 | 14023 | SYNOVUS SECURITIES, INC. | No | NA | PDF|XML | |
| 2025 | Q3 | 8348 | T. ROWE PRICE INVESTMENT SERVICES, INC. | No | NA | PDF|XML | |
| 2025 | Q3 | 10571 | T.R. WINSTON & COMPANY, LLC | No | NA | PDF|XML | |
| 2025 | Q3 | 164484 | TD PRIVATE CLIENT WEALTH LLC | No | NA | PDF|XML | |
| 2025 | Q3 | 18476 | TD SECURITIES (USA) LLC | No | NA | PDF|XML | |
| 2025 | Q3 | 16986 | THE HUNTINGTON INVESTMENT COMPANY | No | NA | PDF|XML | |
| 2025 | Q3 | 41282 | THE JEFFREY MATTHEWS FINANCIAL GROUP, L.L.C. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2025 | Q3 | 2936 | THE O.N. EQUITY SALES COMPANY | No | NA | PDF|XML | |
| 2025 | Q3 | 42941 | THE OAK RIDGE FINANCIAL SERVICES GROUP, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2025 | Q3 | 120116 | THEMIS TRADING LLC | No | NA | PDF|XML | |
| 2025 | Q3 | 300679 | THINK ALPHA SECURITIES, LLC | No | NA | PDF|XML | |
| 2025 | Q3 | 20996 | THINKEQUITY LLC | No | NA | PDF|XML | |
| 2025 | Q3 | 41353 | THOMPSON DAVIS & CO., INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2025 | Q3 | 18387 | THRIVENT INVESTMENT MANAGEMENT INC. | No | NA | PDF|XML | |
| 2025 | Q3 | 154717 | TIGRESS FINANCIAL PARTNERS, LLC | No | NA | PDF|XML | |
| 2025 | Q3 | 26001 | TOCQUEVILLE SECURITIES L.P. | No | NA | PDF|XML | |
| 2025 | Q3 | 130030 | TRADEMAS INC. | No | NA | PDF|XML | |
| 2025 | Q3 | 128605 | TRADINGBLOCK | YES - Disclosure | DASH FINANCIAL TECHNOLOGIES LLC | PDF|XML | |
| 2025 | Q3 | 128605 | TRADINGBLOCK | YES - Disclosure | THINKEQUITY LLC | PDF|XML | |
| 2025 | Q3 | 11363 | TRIAD SECURITIES CORP | No | NA | PDF|XML | |
| 2025 | Q3 | 41258 | TRIDENT PARTNERS LTD. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2025 | Q3 | 6271 | TRUIST SECURITIES, INC. | No | NA | PDF|XML | |
| 2025 | Q3 | 17868 | U.S. BANCORP INVESTMENTS, INC. | No | NA | PDF|XML | |
| 2025 | Q3 | 17073 | UMB FINANCIAL SERVICES, INC. | No | NA | PDF|XML | |
| 2025 | Q3 | 6914 | VAN CLEMENS & CO. INCORPORATED | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2025 | Q3 | 5953 | VANDERBILT SECURITIES, LLC | No | NA | PDF|XML | |
| 2025 | Q3 | 315194 | VF SECURITIES | YES - Disclosure | DRIVEWEALTH, LLC | PDF|XML | |
| 2025 | Q3 | 153407 | WEALTHFRONT BROKERAGE LLC | No | NA | PDF|XML | |
| 2025 | Q3 | 877 | WEDBUSH SECURITIES INC. | No | NA | PDF|XML | |
| 2025 | Q3 | 39914 | WESTPARK CAPITAL, INC. | No | NA | PDF|XML | |
| 2025 | Q3 | 104123 | WHITE MOUNTAIN CAPITAL, LLC | No | NA | PDF|XML | |
| 2025 | Q3 | 133839 | WILMINGTON CAPITAL SECURITIES, LLC | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2025 | Q3 | 29087 | WORLD EQUITY GROUP, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML |