For the Public
FINRA Data provides non-commercial use of data, specifically the ability to save data views and create and manage a Bond Watchlist.
For Industry Professionals
Registered representatives can fulfill Continuing Education requirements, view their industry CRD record and perform other compliance tasks.
For Member Firms
Firm compliance professionals can access filings and requests, run reports and submit support tickets.
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.
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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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| 2026 | Q2 | 146193 | MIURA CAPITAL, LLC | YES - Disclosure | PERSHING LLC | ||
| 2026 | Q2 | 19647 | MIZUHO SECURITIES USA LLC | NO | NA | PDF|XML | |
| 2026 | Q2 | 10409 | MML INVESTORS SERVICES, LLC | NO | NA | PDF|XML | |
| 2026 | Q2 | 38535 | MOLONEY SECURITIES CO., INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2026 | Q2 | 309574 | MONDEUM CAPITAL | NO | NA | PDF|XML | |
| 2026 | Q2 | 30362 | MONEX SECURITIES, INC. | NO | NA | PDF|XML | |
| 2026 | Q2 | 12963 | MONEY CONCEPTS CAPITAL CORP | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2026 | Q2 | 594 | MOORS & CABOT, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2026 | Q2 | 158599 | MORA CAPITAL SECURITIES LLC | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2026 | Q2 | 44807 | MORGAN WILSHIRE SECURITIES, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2026 | Q2 | 154327 | MSEC, LLC | NO | NA | PDF|XML | |
| 2026 | Q2 | 19685 | MUFG SECURITIES AMERICAS INC. | NO | NA | PDF|XML | |
| 2026 | Q2 | 22098 | MULTI-BANK SECURITIES, INC. | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2026 | Q2 | 611 | MUTUAL OF OMAHA INVESTOR SERVICES, INC. | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2026 | Q2 | 13092 | MUTUAL SECURITIES, INC. | NO | NA | PDF|XML | |
| 2026 | Q2 | 112630 | MWA FINANCIAL SERVICES INC. | NO | NA | PDF|XML | |
| 2026 | Q2 | 39455 | NATALLIANCE SECURITIES, LLC | NO | NA | PDF|XML | |
| 2026 | Q2 | 31029 | NATIONWIDE PLANNING ASSOCIATES INC. | NO | NA | ||
| 2026 | Q2 | 31029 | NATIONWIDE PLANNING ASSOCIATES INC. | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2026 | Q2 | 11173 | NATIONWIDE SECURITIES, LLC | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2026 | Q2 | 1101 | NATIXIS SECURITIES AMERICAS LLC | NO | NA | PDF|XML | |
| 2026 | Q2 | 138459 | NAVY FEDERAL INVESTMENT SERVICES, LLC | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2026 | Q2 | 17870 | NBC SECURITIES, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2026 | Q2 | 16360 | NEEDHAM & COMPANY, LLC | NO | NA | XML | |
| 2026 | Q2 | 2908 | NEUBERGER BERMAN BD LLC | NO | NA | PDF|XML | |
| 2026 | Q2 | 104065 | NEWBRIDGE SECURITIES CORPORATION | NO | NA | PDF|XML | |
| 2026 | Q2 | 46214 | NEXT FINANCIAL GROUP, INC. | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2026 | Q2 | 15768 | NOBLE CAPITAL MARKETS, INC. | NO | NA | PDF|XML | |
| 2026 | Q2 | 2881 | NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2026 | Q2 | 5167 | NYLIFE SECURITIES LLC | NO | NA | PDF|XML | |
| 2026 | Q2 | 21000 | OAKWOOD CAPITAL SECURITIES, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2026 | Q2 | 42060 | OBERWEIS SECURITIES, INC. | NO | NA | PDF|XML | |
| 2026 | Q2 | 120002 | OBEX SECURITIES LLC | YES - Disclosure | INTERACTIVE BROKERS LLC | PDF|XML | |
| 2026 | Q2 | 4173 | ONEAMERICA SECURITIES, INC. | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2026 | Q2 | 29753 | ORIENTAL FINANCIAL SERVICES LLC | NO | NA | PDF|XML | |
| 2026 | Q2 | 29753 | ORIENTAL FINANCIAL SERVICES LLC | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2026 | Q2 | 35371 | OSAIC INSTITUTIONS, INC. | NO | NA | PDF|XML | |
| 2026 | Q2 | 23131 | OSAIC WEALTH, INC. | NO | NA | PDF|XML | |
| 2026 | Q2 | 281065 | OUTSET GLOBAL TRADING LIMITED | NO | NA | XML | |
| 2026 | Q2 | 10963 | PAPAMARKOU WELLNER & CO., INC. | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2026 | Q2 | 134657 | PAR5 CAPITAL & CO LLC | NO | NA | PDF|XML | |
| 2026 | Q2 | 134657 | PAR5 CAPITAL & CO LLC | YES | PERSHING LLC | PDF|XML | |
| 2026 | Q2 | 115368 | PARKLAND SECURITIES, LLC | NO | NA | PDF|XML | |
| 2026 | Q2 | 5670 | PAULSON INVESTMENT COMPANY LLC | NO | NA | PDF|XML | |
| 2026 | Q2 | 324533 | PAVE SECURITIES, LLC | YES - Disclosure | INTERACTIVE BROKERS LLC | PDF|XML | |
| 2026 | Q2 | 145994 | PENSERRA SECURITIES, LLC | NO | NA | PDF|XML | |
| 2026 | Q2 | 145994 | PENSERRA SECURITIES, LLC | NO | NA | PDF|XML | CHBC |
| 2026 | Q2 | 36671 | PERSHING ADVISOR SOLUTIONS LLC | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2026 | Q2 | 7560 | PERSHING LLC | NO | NA | PDF|XML | |
| 2026 | Q2 | 104387 | PGM GLOBAL INC. | NO | NA | PDF|XML | |
| 2026 | Q2 | 35800 | PHILLIPS & COMPANY | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2026 | Q2 | 36500 | PICTET OVERSEAS INC. | NO | NA | PDF|XML |