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 5401 - 5500 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 | Q3 | 35127 | ABACUS INVESTMENTS, INC. | YES - Disclosure | HILLTOP SECURITIES INC. | XML | |
| 2024 | Q3 | 139049 | ACP SECURITIES, LLC | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2024 | Q3 | 15007 | AEGIS CAPITAL CORP. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | RBCCLEARINGCUSTODY |
| 2024 | Q3 | 15007 | AEGIS CAPITAL CORP. | No | NA | PDF|XML | MPID1 |
| 2024 | Q3 | 15007 | AEGIS CAPITAL CORP. | YES - Disclosure | AXOS CLEARING LLC | PDF|XML | |
| 2024 | Q3 | 15007 | AEGIS CAPITAL CORP. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | RBCWEALTHMANAGEMENT |
| 2024 | Q3 | 15007 | AEGIS CAPITAL CORP. | No | NA | PDF|XML | MPID2 |
| 2024 | Q3 | 15007 | AEGIS CAPITAL CORP. | No | NA | XML | |
| 2024 | Q3 | 26193 | ALAMO CAPITAL | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | RBCCLEARINGCUSTODY |
| 2024 | Q3 | 26193 | ALAMO CAPITAL | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | RBCWEALTHMANAGEMENT |
| 2024 | Q3 | 36509 | ALIGHT FINANCIAL SOLUTIONS, LLC | No | NA | PDF|XML | |
| 2024 | Q3 | 286504 | ALLARIA SECURITIES, LLC | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2024 | Q3 | 1042 | ALLEN & COMPANY LLC | No | NA | PDF|XML | |
| 2024 | Q3 | 142619 | ALLEN, MOONEY & BARNES BROKERAGE SERVICES, LLC | YES - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | PDF|XML | |
| 2024 | Q3 | 7726 | ALLIANT SECURITIES, INC. TURNER, NORD, KIENBAUM | YES - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | PDF|XML | |
| 2024 | Q3 | 318268 | ALLIO MARKETS, LLC | No | NA | ||
| 2024 | Q3 | 18272 | ALLSTATE FINANCIAL SERVICES, LLC | YES - Disclosure | NATIONAL FINANCIAL SERVICES LLC | PDF|XML | |
| 2024 | Q3 | 136131 | ALLY INVEST SECURITIES LLC | No | NA | PDF|XML | |
| 2024 | Q3 | 136131 | ALLY INVEST SECURITIES LLC | No | NA | PDF|XML | APEXFLOW |
| 2024 | Q3 | 288202 | ALPACA SECURITIES LLC | No | NA | PDF|XML | |
| 2024 | Q3 | 300262 | ALPHALEDGER MARKETS, INC. | YES - Disclosure | HILLTOP SECURITIES INC. | PDF|XML | |
| 2024 | Q3 | 41139 | ALTERNA SECURITIES, INC. | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2024 | Q3 | 41139 | ALTERNA SECURITIES, INC. | No | NA | PDF|XML | |
| 2024 | Q3 | 299274 | ALTRUIST FINANCIAL LLC | No | NA | PDF|XML | |
| 2024 | Q3 | 117284 | AMERANT INVESTMENTS, INC. | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2024 | Q3 | 119249 | AMERICAN CAPITAL PARTNERS, LLC | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | RBCWEALTHMANAGEMENT |
| 2024 | Q3 | 119249 | AMERICAN CAPITAL PARTNERS, LLC | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | RBCCLEARINGCUSTODY |
| 2024 | Q3 | 17437 | AMERICAN CENTURY INVESTMENT SERVICES INC. | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2024 | Q3 | 17437 | AMERICAN CENTURY INVESTMENT SERVICES INC. | No | NA | PDF|XML | |
| 2024 | Q3 | 26506 | AMERICAN ENTERPRISE INVESTMENT SERVICES INC. | No | NA | PDF|XML | |
| 2024 | Q3 | 7388 | AMERICAN GLOBAL WEALTH MANAGEMENT, INC. | YES - Disclosure | HILLTOP SECURITIES INC. | PDF|XML | |
| 2024 | Q3 | 29678 | AMERICAN HERITAGE SECURITIES, INC. | YES - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | PDF|XML | |
| 2024 | Q3 | 135288 | AMERICAN INDEPENDENT SECURITIES GROUP, LLC | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | RBCCLEARINGCUSTODY |
| 2024 | Q3 | 135288 | AMERICAN INDEPENDENT SECURITIES GROUP, LLC | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | RBCWEALTHMANAGEMENT |
| 2024 | Q3 | 3001 | AMERICAN TRUST INVESTMENT SERVICES, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | RBCWEALTHMANAGEMENT |
| 2024 | Q3 | 3001 | AMERICAN TRUST INVESTMENT SERVICES, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | RBCCLEARINGCUSTODY |
| 2024 | Q3 | 6363 | AMERIPRISE FINANCIAL SERVICES, LLC | YES - Disclosure | AMERICAN ENTERPRISE INVESTMENT SERVICES INC. | PDF|XML | |
| 2024 | Q3 | 14869 | AMERITAS INVESTMENT COMPANY, LLC | No | NA | PDF|XML | |
| 2024 | Q3 | 8365 | AMUNI FINANCIAL, INC. | YES - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | PDF|XML | |
| 2024 | Q3 | 284714 | ANOS CAPITAL, LLC | No | NA | PDF|XML | |
| 2024 | Q3 | 13071 | APEX CLEARING CORPORATION | No | NA | PDF|XML | |
| 2024 | Q3 | 328167 | ARCHITECT SECURITIES LLC | No | NA | ||
| 2024 | Q3 | 318437 | ARENS SECURITIES | YES - Disclosure | VELOCITY CLEARING, LLC | PDF|XML | |
| 2024 | Q3 | 44856 | ARETE WEALTH MANAGEMENT, LLC | YES - Disclosure | NATIONAL FINANCIAL SERVICES LLC | PDF|XML | |
| 2024 | Q3 | 44856 | ARETE WEALTH MANAGEMENT, LLC | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2024 | Q3 | 282710 | ARKADIOS CAPITAL | YES - Disclosure | NATIONAL FINANCIAL SERVICES LLC | PDF|XML | |
| 2024 | Q3 | 282710 | ARKADIOS CAPITAL | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | RBCCLEARINGCUSTODY |
| 2024 | Q3 | 282710 | ARKADIOS CAPITAL | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | RBCWEALTHMANAGEMENT |
| 2024 | Q3 | 42057 | ARVEST WEALTH MANAGEMENT | No | NA | PDF|XML | |
| 2024 | Q3 | 42057 | ARVEST WEALTH MANAGEMENT | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2024 | Q3 | 16629 | ASHTON THOMAS SECURITIES, LLC | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2024 | Q3 | 1464 | ASSOCIATED INVESTMENT SERVICES, INC. | YES - Disclosure | NATIONAL FINANCIAL SERVICES LLC | PDF|XML |