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.
|
Calendar year for which a firm submits an SEC Rule 606(a) report.
|
Calendar quarter for which a firm submits an SEC Rule 606(a) report.
|
CRD of the firm submitting the SEC Rule 606(a) report or adopting a clearing firm's report.
|
Name of the firm submitting the SEC Rule 606(a) report or adopting a clearing firm's report.
|
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.
|
Provides the name of the clearing firm whose report the member identified in the “Firm” field is adopting by reference.
|
606(a) Report
Link to download the SEC Rule 606(a) report in a PDF or XML format.
|
A free form field used by firms to provide additional information in connection with the submission of SEC Rule 606(a) reports.
|
|---|---|---|---|---|---|---|---|
| 2024 | Q2 | 25899 | CRESAP, INC. | YES - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | PDF|XML | |
| 2024 | Q2 | 114993 | CRESCENT SECURITIES GROUP, INC. | YES - Disclosure | HILLTOP SECURITIES INC. | PDF|XML | |
| 2024 | Q2 | 18266 | CULLEN INVESTMENT GROUP, LTD. | YES - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | PDF|XML | OPTIONS |
| 2024 | Q2 | 18266 | CULLEN INVESTMENT GROUP, LTD. | YES - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | PDF|XML | |
| 2024 | Q2 | 42132 | CUSO FINANCIAL SERVICES, L.P. | No | NA | ||
| 2024 | Q2 | 22449 | CUTTER & COMPANY, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | RBCCLEARINGCUSTODY |
| 2024 | Q2 | 22449 | CUTTER & COMPANY, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | RBCWEALTHMANAGEMENT |
| 2024 | Q2 | 22449 | CUTTER & COMPANY, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2024 | Q2 | 22449 | CUTTER & COMPANY, INC. | YES - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | PDF|XML | |
| 2024 | Q2 | 10386 | D. B. MCKENNA & CO., INC. | YES - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | PDF|XML | OPTIONS |
| 2024 | Q2 | 10386 | D. B. MCKENNA & CO., INC. | YES - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | PDF|XML | |
| 2024 | Q2 | 199 | D.A. DAVIDSON & CO. | No | NA | PDF|XML | |
| 2024 | Q2 | 38770 | D.M. KELLY & COMPANY | YES - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | PDF|XML | |
| 2024 | Q2 | 1576 | DAIWA CAPITAL MARKETS AMERICA INC. | No | NA | PDF|XML | |
| 2024 | Q2 | 104031 | DASH FINANCIAL TECHNOLOGIES LLC | No | NA | PDF|XML | |
| 2024 | Q2 | 41257 | DASH PRIME LLC | YES - Disclosure | BOFA SECURITIES, INC. | PDF|XML | |
| 2024 | Q2 | 41257 | DASH PRIME LLC | YES - Disclosure | APEX CLEARING CORPORATION | PDF|XML | |
| 2024 | Q2 | 41257 | DASH PRIME LLC | YES - Disclosure | DASH FINANCIAL TECHNOLOGIES LLC | PDF|XML | |
| 2024 | Q2 | 1588 | DAVENPORT & COMPANY LLC | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2024 | Q2 | 5397 | DAVID LERNER ASSOCIATES, INC. | No | NA | PDF|XML | |
| 2024 | Q2 | 130645 | DAWSON JAMES SECURITIES, INC. | No | NA | PDF|XML | |
| 2024 | Q2 | 2525 | DEUTSCHE BANK SECURITIES INC. | No | NA | PDF|XML | |
| 2024 | Q2 | 308213 | DIGITAL BROKERAGE SERVICES LLC | No | NA | PDF|XML | |
| 2024 | Q2 | 104446 | DINOSAUR FINANCIAL GROUP, L.L.C | No | NA | PDF|XML | |
| 2024 | Q2 | 41067 | DMK ADVISOR GROUP, INC. | No | NA | ||
| 2024 | Q2 | 2950 | DORN & CO., INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | RBCWEALTHMANAGEMENT |
| 2024 | Q2 | 2950 | DORN & CO., INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2024 | Q2 | 2950 | DORN & CO., INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | RBCCLEARINGCUSTODY |
| 2024 | Q2 | 24746 | DOWLING & PARTNERS SECURITIES LLC | No | NA | PDF|XML | |
| 2024 | Q2 | 165429 | DRIVEWEALTH, LLC | No | NA | PDF|XML | |
| 2024 | Q2 | 3063 | E. E. POWELL & COMPANY INC. | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2024 | Q2 | 299423 | EDDID SECURITIES USA INC. | YES - Disclosure | VELOCITY CLEARING, LLC | PDF|XML | |
| 2024 | Q2 | 299423 | EDDID SECURITIES USA INC. | YES - Disclosure | VELOX CLEARING LLC | PDF|XML | |
| 2024 | Q2 | 250 | EDWARD JONES | No | NA | PDF|XML | |
| 2024 | Q2 | 40118 | EFG CAPITAL INTERNATIONAL | No | NA | PDF|XML | PERSHING |
| 2024 | Q2 | 40118 | EFG CAPITAL INTERNATIONAL | No | NA | PDF|XML | EFGBANK |
| 2024 | Q2 | 40118 | EFG CAPITAL INTERNATIONAL | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2024 | Q2 | 140341 | ELEVATION, LLC | No | NA | PDF|XML | |
| 2024 | Q2 | 130032 | EMERSON EQUITY LLC | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2024 | Q2 | 143007 | EMPIRE ASSET MANAGEMENT COMPANY | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | RBCWEALTHMANAGEMENT |
| 2024 | Q2 | 143007 | EMPIRE ASSET MANAGEMENT COMPANY | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | RBCCLEARINGCUSTODY |
| 2024 | Q2 | 143007 | EMPIRE ASSET MANAGEMENT COMPANY | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2024 | Q2 | 13109 | EMPOWER FINANCIAL SERVICES, INC. | YES - Disclosure | NATIONAL FINANCIAL SERVICES LLC | PDF|XML | |
| 2024 | Q2 | 13109 | EMPOWER FINANCIAL SERVICES, INC. | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2024 | Q2 | 13109 | EMPOWER FINANCIAL SERVICES, INC. | No | NA | PDF|XML | NFS13041MPWR |
| 2024 | Q2 | 13109 | EMPOWER FINANCIAL SERVICES, INC. | No | NA | PDF|XML | PERSHING7560GWFS |
| 2024 | Q2 | 166756 | EPIC CAPITAL SECURITIES | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2024 | Q2 | 6627 | EQUITABLE ADVISORS, LLC | No | NA | ||
| 2024 | Q2 | 145276 | ETC BROKERAGE SERVICES, LLC | No | NA | PDF|XML | |
| 2024 | Q2 | 298361 | ETORO USA SECURITIES INC. | No | NA | ||
| 2024 | Q2 | 298361 | ETORO USA SECURITIES INC. | YES - Disclosure | APEX CLEARING CORPORATION | PDF|XML | |
| 2024 | Q2 | 42405 | EVERCORE GROUP L.L.C. | No | NA | PDF|XML |