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 4301 - 4400 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 | 7524 | FIRST KENTUCKY SECURITIES CORPORATION | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | RBCWEALTHMANAGEMENT |
| 2024 | Q4 | 7524 | FIRST KENTUCKY SECURITIES CORPORATION | YES - Disclosure | RBC CAPITAL MARKETS, LLC | RBCCLEARINGCUSTODY | |
| 2024 | Q4 | 7524 | FIRST KENTUCKY SECURITIES CORPORATION | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2024 | Q4 | 14627 | FIRST SECURITIES NORTHWEST, INC. | YES - Disclosure | HILLTOP SECURITIES INC. | PDF|XML | |
| 2024 | Q4 | 282756 | FIRST SOUTHERN, LLC | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2024 | Q4 | 7336 | FIRST TRYON SECURITIES, LLC | YES - Disclosure | HILLTOP SECURITIES INC. | PDF|XML | |
| 2024 | Q4 | 19537 | FIRST WESTERN SECURITIES, INC. | YES - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | PDF|XML | |
| 2024 | Q4 | 16843 | FIRSTRADE SECURITIES INC. | No | NA | PDF|XML | |
| 2024 | Q4 | 104233 | FLAGSTAR ADVISORS | YES - Disclosure | NATIONAL FINANCIAL SERVICES LLC | PDF|XML | |
| 2024 | Q4 | 38105 | FMN CAPITAL CORPORATION | YES - Disclosure | NATIONAL FINANCIAL SERVICES LLC | PDF|XML | |
| 2024 | Q4 | 38105 | FMN CAPITAL CORPORATION | No | NA | PDF|XML | |
| 2024 | Q4 | 132091 | FNBB CAPITAL MARKETS, LLC | YES - Disclosure | HILLTOP SECURITIES INC. | PDF|XML | |
| 2024 | Q4 | 319 | FOLGER NOLAN FLEMING DOUGLAS INCORPORATED | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2024 | Q4 | 283965 | FOLIONET FINANCIAL LLC | YES - Disclosure | APEX CLEARING CORPORATION | PDF|XML | |
| 2024 | Q4 | 283965 | FOLIONET FINANCIAL LLC | YES - Disclosure | STONEX FINANCIAL INC. | PDF|XML | |
| 2024 | Q4 | 282331 | FORIS CAPITAL US LLC | YES - Disclosure | APEX CLEARING CORPORATION | PDF|XML | |
| 2024 | Q4 | 38373 | FORTE SECURITIES LLC | No | NA | ||
| 2024 | Q4 | 290298 | FORTRESS PRIVATE LEDGER, LLC | YES - Disclosure | INTERACTIVE BROKERS LLC | ||
| 2024 | Q4 | 137945 | FOUNDERS FINANCIAL SECURITIES LLC | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2024 | Q4 | 316641 | FREC SECURITIES LLC | YES - Disclosure | APEX CLEARING CORPORATION | PDF|XML | |
| 2024 | Q4 | 17465 | FROST BROKERAGE SERVICES, INC. | No | NA | PDF|XML | |
| 2024 | Q4 | 298769 | FUTU CLEARING INC | No | NA | PDF|XML | |
| 2024 | Q4 | 17486 | G. A. REPPLE & COMPANY | No | NA | PDF|XML | |
| 2024 | Q4 | 7353 | G.RESEARCH, LLC | YES - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | PDF|XML | |
| 2024 | Q4 | 7353 | G.RESEARCH, LLC | No | NA | PDF|XML | |
| 2024 | Q4 | 103727 | GAGNON SECURITIES, LLC | No | NA | NFS | |
| 2024 | Q4 | 103727 | GAGNON SECURITIES, LLC | No | NA | PDF|XML | SPGLOBAL |
| 2024 | Q4 | 138033 | GAR WOOD SECURITIES, LLC | YES - Disclosure | INTERACTIVE BROKERS LLC | ||
| 2024 | Q4 | 138033 | GAR WOOD SECURITIES, LLC | No | NA | PDF|XML | GRWD |
| 2024 | Q4 | 138033 | GAR WOOD SECURITIES, LLC | No | NA | PDF|XML | GARW |
| 2024 | Q4 | 10083 | GARDEN STATE SECURITIES, INC. | No | NA | PDF|XML | |
| 2024 | Q4 | 28684 | GBM INTERNATIONAL, INC. | No | NA | XML | |
| 2024 | Q4 | 120894 | GENEOS WEALTH MANAGEMENT, INC. | No | NA | PDF|XML | |
| 2024 | Q4 | 46749 | GEORGESON SECURITIES CORPORATION | YES - Disclosure | BOFA SECURITIES, INC. | PDF|XML | |
| 2024 | Q4 | 19982 | GFI SECURITIES LLC | No | NA | PDF|XML | |
| 2024 | Q4 | 2002 | GILDER GAGNON HOWE & CO. LLC | No | NA | PDF|XML | |
| 2024 | Q4 | 14559 | GILL CAPITAL PARTNERS, LLC | YES - Disclosure | HILLTOP SECURITIES INC. | PDF|XML | |
| 2024 | Q4 | 1834 | GIRARD INVESTMENT SERVICES, LLC | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2024 | Q4 | 124504 | GLEN EAGLE WEALTH, LLC | No | NA | PDF|XML | SPGLOBAL |
| 2024 | Q4 | 123649 | GLENDALE SECURITIES, INC. | No | NA | PDF|XML | |
| 2024 | Q4 | 37505 | GLOBAL BROKERAGE SERVICES, INC. | YES - Disclosure | HILLTOP SECURITIES INC. | PDF|XML | |
| 2024 | Q4 | 35699 | GLOBAL FINANCIAL SERVICES, L.L.C. | YES - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | PDF|XML | RAJA |
| 2024 | Q4 | 35699 | GLOBAL FINANCIAL SERVICES, L.L.C. | YES - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | PDF|XML | EQUITY |
| 2024 | Q4 | 35699 | GLOBAL FINANCIAL SERVICES, L.L.C. | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2024 | Q4 | 29721 | GLOBALINK SECURITIES, INC. | No | NA | PDF|XML | |
| 2024 | Q4 | 361 | GOLDMAN SACHS & CO. LLC | No | NA | PDF|XML | |
| 2024 | Q4 | 48015 | GOLDMAN SACHS CUSTODY SOLUTIONS | No | NA | PDF|XML | |
| 2024 | Q4 | 7976 | GORDON, HASKETT CAPITAL CORPORATION | No | NA | PDF|XML | |
| 2024 | Q4 | 127701 | GRADIENT SECURITIES, LLC | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | RBCCLEARINGCUSTODY |
| 2024 | Q4 | 127701 | GRADIENT SECURITIES, LLC | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | RBCWEALTHMANAGEMENT |
| 2024 | Q4 | 127701 | GRADIENT SECURITIES, LLC | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2024 | Q4 | 114203 | GREAT POINT CAPITAL LLC | No | NA | PDF|XML | |
| 2024 | Q4 | 313305 | GREEN PIER FINTECH LLC | No | NA | PDF|XML |