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 5201 - 5300 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 | 47893 | THOROUGHBRED FINANCIAL SERVICES, LLC | No | NA | PDF|XML | |
| 2024 | Q4 | 47893 | THOROUGHBRED FINANCIAL SERVICES, LLC | YES - Disclosure | NATIONAL FINANCIAL SERVICES LLC | XML | |
| 2024 | Q4 | 18387 | THRIVENT INVESTMENT MANAGEMENT INC. | No | NA | PDF|XML | |
| 2024 | Q4 | 8478 | THURSTON SPRINGER FINANCIAL | YES - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | PDF|XML | |
| 2024 | Q4 | 20472 | TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC | No | NA | PDF|XML | |
| 2024 | Q4 | 154717 | TIGRESS FINANCIAL PARTNERS, LLC | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2024 | Q4 | 154717 | TIGRESS FINANCIAL PARTNERS, LLC | No | NA | PDF|XML | |
| 2024 | Q4 | 312379 | TITAN GLOBAL TECHNOLOGIES LLC | YES - Disclosure | APEX CLEARING CORPORATION | PDF|XML | |
| 2024 | Q4 | 46300 | TJM INVESTMENTS, LLC | No | NA | PDF|XML | |
| 2024 | Q4 | 26001 | TOCQUEVILLE SECURITIES L.P. | No | NA | PDF|XML | |
| 2024 | Q4 | 269966 | TORNADO | No | NA | ||
| 2024 | Q4 | 46350 | TRADE-PMR INC. | YES - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | PDF|XML | |
| 2024 | Q4 | 130030 | TRADEMAS INC. | No | NA | PDF|XML | |
| 2024 | Q4 | 39473 | TRADESTATION SECURITIES, INC. | No | NA | PDF|XML | |
| 2024 | Q4 | 18483 | TRADEUP SECURITIES, INC. | No | NA | PDF|XML | |
| 2024 | Q4 | 282940 | TRADEZERO AMERICA, INC. | No | NA | ||
| 2024 | Q4 | 104982 | TRADIER BROKERAGE, INC. | YES - Disclosure | APEX CLEARING CORPORATION | PDF|XML | |
| 2024 | Q4 | 104982 | TRADIER BROKERAGE, INC. | No | NA | ||
| 2024 | Q4 | 128605 | TRADINGBLOCK | YES - Disclosure | INSTINET, LLC | PDF|XML | |
| 2024 | Q4 | 128605 | TRADINGBLOCK | YES - Disclosure | DASH FINANCIAL TECHNOLOGIES LLC | PDF|XML | |
| 2024 | Q4 | 128605 | TRADINGBLOCK | YES - Disclosure | THINKEQUITY LLC | PDF|XML | |
| 2024 | Q4 | 28269 | TRADITION SECURITIES AND DERIVATIVES LLC | No | NA | PDF|XML | |
| 2024 | Q4 | 16164 | TRANSAMERICA FINANCIAL ADVISORS, INC | No | NA | PDF|XML | |
| 2024 | Q4 | 11363 | TRIAD SECURITIES CORP | No | NA | ||
| 2024 | Q4 | 41258 | TRIDENT PARTNERS LTD. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2024 | Q4 | 41258 | TRIDENT PARTNERS LTD. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | RBCCLEARINGCUSTODY |
| 2024 | Q4 | 41258 | TRIDENT PARTNERS LTD. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | RBCWEALTHMANAGEMENT |
| 2024 | Q4 | 3618 | TRUBEE WEALTH ADVISORS, INC. | YES - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | PDF|XML | |
| 2024 | Q4 | 17499 | TRUIST INVESTMENT SERVICES, INC. | No | NA | PDF|XML | |
| 2024 | Q4 | 6271 | TRUIST SECURITIES, INC. | No | NA | PDF|XML | |
| 2024 | Q4 | 8089 | TZ CLEAR LLC | No | NA | PDF|XML | |
| 2024 | Q4 | 14455 | U.S. BANCORP ADVISORS, LLC | No | NA | PDF|XML | |
| 2024 | Q4 | 17868 | U.S. BANCORP INVESTMENTS, INC. | No | NA | PDF|XML | |
| 2024 | Q4 | 8174 | UBS FINANCIAL SERVICES INC. | No | NA | PDF|XML | |
| 2024 | Q4 | 7654 | UBS SECURITIES LLC | No | NA | PDF|XML | |
| 2024 | Q4 | 173643 | UCAP AMERICAS | YES - Disclosure | STONEX FINANCIAL INC. | PDF|XML | |
| 2024 | Q4 | 17073 | UMB FINANCIAL SERVICES, INC. | No | NA | PDF|XML | |
| 2024 | Q4 | 309955 | UNEST SECURITIES, LLC | YES - Disclosure | APEX CLEARING CORPORATION | PDF|XML | |
| 2024 | Q4 | 39062 | UNITED BROKERAGE SERVICES, INC | YES - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | PDF|XML | |
| 2024 | Q4 | 20804 | UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER | No | NA | PDF|XML | |
| 2024 | Q4 | 20804 | UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2024 | Q4 | 36105 | UNIVEST SECURITIES, LLC | YES - Disclosure | VELOX CLEARING LLC | PDF|XML | |
| 2024 | Q4 | 36105 | UNIVEST SECURITIES, LLC | YES - Disclosure | CURVATURE SECURITIES LLC | PDF|XML | |
| 2024 | Q4 | 120583 | US TIGER SECURITIES, INC. | No | NA | PDF|XML | |
| 2024 | Q4 | 103857 | USA FINANCIAL SECURITIES LLC | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2024 | Q4 | 103789 | USCA SECURITIES LLC | No | NA | PDF|XML | MPID1 |
| 2024 | Q4 | 103789 | USCA SECURITIES LLC | No | NA | MPID2 | |
| 2024 | Q4 | 103789 | USCA SECURITIES LLC | YES - Disclosure | NATIONAL FINANCIAL SERVICES LLC | PDF|XML | |
| 2024 | Q4 | 42803 | VALIC FINANCIAL ADVISORS, INC. | No | NA | INFO | |
| 2024 | Q4 | 105387 | VALLEY FINANCIAL MANAGEMENT, INC. | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2024 | Q4 | 31243 | VALMARK SECURITIES, INC. | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2024 | Q4 | 6914 | VAN CLEMENS & CO. INCORPORATED | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2024 | Q4 | 6914 | VAN CLEMENS & CO. INCORPORATED | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | RBCCLEARINGCUSTODY |
| 2024 | Q4 | 6914 | VAN CLEMENS & CO. INCORPORATED | YES - Disclosure | RBC CAPITAL MARKETS, LLC | XML | RBCWEALTHMANAGEMENT |