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 4201 - 4300 of 8594
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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| 2024 | Q4 | 2950 | DORN & CO., INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | RBCCLEARINGCUSTODY |
| 2024 | Q4 | 2950 | DORN & CO., INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | RBCWEALTHMANAGEMENT |
| 2024 | Q4 | 2950 | DORN & CO., INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2024 | Q4 | 24746 | DOWLING & PARTNERS SECURITIES LLC | No | NA | ||
| 2024 | Q4 | 33038 | DRIVEWEALTH INSTITUTIONAL LLC | No | NA | PDF|XML | |
| 2024 | Q4 | 165429 | DRIVEWEALTH, LLC | No | NA | PDF|XML | |
| 2024 | Q4 | 3063 | E. E. POWELL & COMPANY INC. | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2024 | Q4 | 299423 | EDDID SECURITIES USA INC. | YES - Disclosure | VELOX CLEARING LLC | PDF|XML | |
| 2024 | Q4 | 299423 | EDDID SECURITIES USA INC. | YES - Disclosure | VELOCITY CLEARING, LLC | PDF|XML | |
| 2024 | Q4 | 250 | EDWARD JONES | No | NA | PDF|XML | |
| 2024 | Q4 | 40118 | EFG CAPITAL INTERNATIONAL | No | NA | PDF|XML | EFGBANK |
| 2024 | Q4 | 40118 | EFG CAPITAL INTERNATIONAL | No | NA | PDF|XML | PERSHING |
| 2024 | Q4 | 40118 | EFG CAPITAL INTERNATIONAL | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2024 | Q4 | 140341 | ELEVATION, LLC | No | NA | PDF|XML | |
| 2024 | Q4 | 130032 | EMERSON EQUITY LLC | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2024 | Q4 | 143007 | EMPIRE ASSET MANAGEMENT COMPANY | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2024 | Q4 | 143007 | EMPIRE ASSET MANAGEMENT COMPANY | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | RBCCLEARINGCUSTODY |
| 2024 | Q4 | 143007 | EMPIRE ASSET MANAGEMENT COMPANY | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | RBCWEALTHMANAGEMENT |
| 2024 | Q4 | 13109 | EMPOWER FINANCIAL SERVICES, INC. | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2024 | Q4 | 13109 | EMPOWER FINANCIAL SERVICES, INC. | YES - Disclosure | NATIONAL FINANCIAL SERVICES LLC | PDF|XML | |
| 2024 | Q4 | 13109 | EMPOWER FINANCIAL SERVICES, INC. | No | NA | PDF|XML | PERSHING7560GWFS |
| 2024 | Q4 | 166756 | EPIC CAPITAL SECURITIES | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2024 | Q4 | 6627 | EQUITABLE ADVISORS, LLC | No | NA | ||
| 2024 | Q4 | 265 | EQUITY SERVICES, INC. | YES - Disclosure | NATIONAL FINANCIAL SERVICES LLC | PDF|XML | |
| 2024 | Q4 | 145276 | ETC BROKERAGE SERVICES, LLC | No | NA | PDF|XML | |
| 2024 | Q4 | 298361 | ETORO USA SECURITIES INC. | YES - Disclosure | APEX CLEARING CORPORATION | PDF|XML | |
| 2024 | Q4 | 298361 | ETORO USA SECURITIES INC. | No | NA | ||
| 2024 | Q4 | 42405 | EVERCORE GROUP L.L.C. | No | NA | PDF|XML | |
| 2024 | Q4 | 32830 | FARINA & ASSOCIATES, INC. | No | NA | ||
| 2024 | Q4 | 5309 | FBL MARKETING SERVICES, LLC | No | RBC CAPITAL MARKETS, LLC | PDF|XML | RBCCLEARINGCUSTODY |
| 2024 | Q4 | 5309 | FBL MARKETING SERVICES, LLC | No | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2024 | Q4 | 5309 | FBL MARKETING SERVICES, LLC | No | RBC CAPITAL MARKETS, LLC | PDF|XML | RBCWEALTHMANAGEMENT |
| 2024 | Q4 | 6905 | FELTL & COMPANY | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | RBCWEALTHMANAGEMENT |
| 2024 | Q4 | 6905 | FELTL & COMPANY | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2024 | Q4 | 6905 | FELTL & COMPANY | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | RBCCLEARINGCUSTODY |
| 2024 | Q4 | 159481 | FENIX SECURITIES, LLC | No | NA | ||
| 2024 | Q4 | 316281 | FENNEL | No | NA | PDF|XML | |
| 2024 | Q4 | 47768 | FERRETTI GROUP, INC. | No | NA | PDF|XML | |
| 2024 | Q4 | 7784 | FIDELITY BROKERAGE SERVICES LLC | No | NA | PDF|XML | |
| 2024 | Q4 | 628 | FIFTH THIRD SECURITIES, INC. | No | NA | PDF|XML | |
| 2024 | Q4 | 628 | FIFTH THIRD SECURITIES, INC. | No | NA | PDF|XML | FTSR |
| 2024 | Q4 | 31793 | FINANCORP GROUP INTERNATIONAL CORPORATION | YES - Disclosure | INTERACTIVE BROKERS LLC | ||
| 2024 | Q4 | 305818 | FINTRON INVEST | No | NA | PDF|XML | |
| 2024 | Q4 | 41608 | FINTRUST BROKERAGE SERVICES, LLC | YES - Disclosure | NATIONAL FINANCIAL SERVICES LLC | PDF|XML | |
| 2024 | Q4 | 139107 | FIRST ASSET FINANCIAL INC. | YES - Disclosure | HILLTOP SECURITIES INC. | PDF|XML | |
| 2024 | Q4 | 125393 | FIRST BALLANTYNE, LLC | No | NA | XML | |
| 2024 | Q4 | 125393 | FIRST BALLANTYNE, LLC | YES - Disclosure | WEDBUSH SECURITIES INC. | PDF|XML | |
| 2024 | Q4 | 15041 | FIRST BANKERS' BANC SECURITIES, INC | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2024 | Q4 | 44430 | FIRST CITIZENS INVESTOR SERVICES, INC. | No | NA | PDF|XML | |
| 2024 | Q4 | 24549 | FIRST DALLAS SECURITIES INCORPORATED | YES - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | PDF|XML | |
| 2024 | Q4 | 32460 | FIRST HEARTLAND CAPITAL, INC. | No | NA | PDF|XML | |
| 2024 | Q4 | 32460 | FIRST HEARTLAND CAPITAL, INC. | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2024 | Q4 | 17117 | FIRST HORIZON ADVISORS, INC. | YES - Disclosure | NATIONAL FINANCIAL SERVICES LLC | PDF|XML | |
| 2024 | Q4 | 7524 | FIRST KENTUCKY SECURITIES CORPORATION | YES - Disclosure | RBC CAPITAL MARKETS, LLC | XML | RBCWEALTHMANAGEMENT |