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 4901 - 5000 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 | 1137 | PRINCIPAL SECURITIES, INC. | YES - Disclosure | NATIONAL FINANCIAL SERVICES LLC | PDF|XML | |
| 2024 | Q4 | 306255 | PRISM FINANCIAL PRODUCTS LP | No | NA | PDF|XML | |
| 2024 | Q4 | 120222 | PRIVATE CLIENT SERVICES, LLC | No | NA | ||
| 2024 | Q4 | 120222 | PRIVATE CLIENT SERVICES, LLC | YES - Disclosure | PERSHING ADVISOR SOLUTIONS LLC | XML | |
| 2024 | Q4 | 120222 | PRIVATE CLIENT SERVICES, LLC | YES - Disclosure | CHARLES SCHWAB & CO., INC. | XML | |
| 2024 | Q4 | 120222 | PRIVATE CLIENT SERVICES, LLC | YES - Disclosure | FIDELITY BROKERAGE SERVICES LLC | PDF|XML | |
| 2024 | Q4 | 120222 | PRIVATE CLIENT SERVICES, LLC | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2024 | Q4 | 36644 | PRIVATE PORTFOLIO, INC. | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2024 | Q4 | 10740 | PROSPERA FINANCIAL SERVICES, INC. | YES - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | PDF|XML | |
| 2024 | Q4 | 5685 | PRUCO SECURITIES, LLC. | No | NA | PDF|XML | |
| 2024 | Q4 | 304587 | PUENTE SERVICIOS FINANCIEROS LLC | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2024 | Q4 | 35747 | PURSHE KAPLAN STERLING INVESTMENTS | No | NA | PDF|XML | |
| 2024 | Q4 | 321974 | PWA SECURITIES, LLC | YES - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | PDF|XML | EQUITY |
| 2024 | Q4 | 321974 | PWA SECURITIES, LLC | YES - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | PDF|XML | RAJA |
| 2024 | Q4 | 2498 | R. F. LAFFERTY & CO., INC. | No | NA | PDF|XML | |
| 2024 | Q4 | 14974 | R. SEELAUS & CO., LLC | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2024 | Q4 | 7612 | R.M. STARK & CO., INC. | No | PERSHING LLC | PDF|XML | |
| 2024 | Q4 | 26460 | R.W.PRESSPRICH & CO. | No | NA | PDF|XML | |
| 2024 | Q4 | 705 | RAYMOND JAMES & ASSOCIATES, INC. | No | NA | PDF|XML | EQUITY |
| 2024 | Q4 | 705 | RAYMOND JAMES & ASSOCIATES, INC. | No | NA | PDF|XML | RAJA |
| 2024 | Q4 | 25853 | RAYMOND JAMES (USA) LTD. | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2024 | Q4 | 25853 | RAYMOND JAMES (USA) LTD. | No | NA | PDF|XML | |
| 2024 | Q4 | 6694 | RAYMOND JAMES FINANCIAL SERVICES, INC. | YES - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | PDF|XML | EQUITY |
| 2024 | Q4 | 6694 | RAYMOND JAMES FINANCIAL SERVICES, INC. | YES - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | PDF|XML | RAJA |
| 2024 | Q4 | 31194 | RBC CAPITAL MARKETS, LLC | No | NA | PDF|XML | RBCCLEARINGCUSTODY |
| 2024 | Q4 | 31194 | RBC CAPITAL MARKETS, LLC | No | NA | PDF|XML | |
| 2024 | Q4 | 31194 | RBC CAPITAL MARKETS, LLC | No | NA | PDF|XML | RBCWEALTHMANAGEMENT |
| 2024 | Q4 | 15548 | RCM SECURITIES | No | NA | ||
| 2024 | Q4 | 15548 | RCM SECURITIES | YES - Disclosure | INTERACTIVE BROKERS LLC | ||
| 2024 | Q4 | 23769 | REALTA EQUITIES, INC. | YES - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | PDF|XML | |
| 2024 | Q4 | 23769 | REALTA EQUITIES, INC. | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2024 | Q4 | 23769 | REALTA EQUITIES, INC. | YES - Disclosure | AXOS CLEARING LLC | PDF|XML | |
| 2024 | Q4 | 287912 | REDBRIDGE SECURITIES LLC | YES - Disclosure | APEX CLEARING CORPORATION | PDF|XML | |
| 2024 | Q4 | 140564 | REDBURN ATLANTIC | No | NA | XML | |
| 2024 | Q4 | 7297 | REGAL SECURITIES, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | RBCWEALTHMANAGEMENT |
| 2024 | Q4 | 7297 | REGAL SECURITIES, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | RBCCLEARINGCUSTODY |
| 2024 | Q4 | 7297 | REGAL SECURITIES, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2024 | Q4 | 7297 | REGAL SECURITIES, INC. | No | NA | PDF|XML | |
| 2024 | Q4 | 30568 | REGISTER FINANCIAL ASSOCIATES, INC. | YES - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | PDF|XML | |
| 2024 | Q4 | 14178 | REVERE SECURITIES LLC | No | NA | PDF|XML | |
| 2024 | Q4 | 19610 | RHODES SECURITIES, INC. | YES - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | PDF|XML | |
| 2024 | Q4 | 21606 | RICE FINANCIAL PRODUCTS COMPANY | No | NA | ||
| 2024 | Q4 | 713 | RICHARDS MERRILL WEALTH MANAGEMENT | YES - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | PDF|XML | |
| 2024 | Q4 | 30812 | RIEDL FIRST SECURITIES COMPANY OF KANSAS | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | RBCCLEARINGCUSTODY |
| 2024 | Q4 | 30812 | RIEDL FIRST SECURITIES COMPANY OF KANSAS | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | RBCWEALTHMANAGEMENT |
| 2024 | Q4 | 30812 | RIEDL FIRST SECURITIES COMPANY OF KANSAS | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2024 | Q4 | 8158 | ROBERT W. BAIRD & CO. INCORPORATED | No | NA | PDF|XML | |
| 2024 | Q4 | 165998 | ROBINHOOD FINANCIAL, LLC | No | NA | PDF|XML | |
| 2024 | Q4 | 287900 | ROBINHOOD SECURITIES, LLC | No | NA | PDF|XML | |
| 2024 | Q4 | 13251 | ROBOTTI SECURITIES, LLC | No | NA | ||
| 2024 | Q4 | 291361 | ROCKEFELLER FINANCIAL LLC | No | NA | PDF|XML | |
| 2024 | Q4 | 3215 | ROMANO BROTHERS AND COMPANY | YES - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | PDF|XML | |
| 2024 | Q4 | 18377 | ROSENBLATT SECURITIES INC. | No | NA | PDF|XML | |
| 2024 | Q4 | 15407 | ROTH CAPITAL PARTNERS, LLC | No | NA | PDF|XML |