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 5601 - 5700 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 | 1331 | BROWN, LISLE/CUMMINGS, INC. | YES - Disclosure | NATIONAL FINANCIAL SERVICES LLC | PDF|XML | |
| 2024 | Q3 | 1331 | BROWN, LISLE/CUMMINGS, INC. | No | NA | PDF|XML | |
| 2024 | Q3 | 149486 | BTG PACTUAL US CAPITAL, LLC | No | NA | PDF|XML | |
| 2024 | Q3 | 122225 | BTIG, LLC | No | NA | XML | |
| 2024 | Q3 | 23407 | BUCKMAN, BUCKMAN & REID, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | RBCWEALTHMANAGEMENT |
| 2024 | Q3 | 23407 | BUCKMAN, BUCKMAN & REID, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | RBCCLEARINGCUSTODY |
| 2024 | Q3 | 282480 | BULL MARKET SECURITIES, INC. | YES - Disclosure | STONEX FINANCIAL INC. | PDF|XML | |
| 2024 | Q3 | 104005 | BULLTICK, LLC | No | NA | PDF|XML | |
| 2024 | Q3 | 6183 | C. L. KING & ASSOCIATES, INC. | No | NA | XML | |
| 2024 | Q3 | 10641 | CADARET, GRANT & CO., INC. | No | NA | PDF|XML | |
| 2024 | Q3 | 10489 | CALDWELL SUTTER CAPITAL, INC. | No | NA | PDF|XML | |
| 2024 | Q3 | 20999 | CALTON & ASSOCIATES, INC. | YES - Disclosure | NATIONAL FINANCIAL SERVICES LLC | PDF|XML | |
| 2024 | Q3 | 20999 | CALTON & ASSOCIATES, INC. | YES - Disclosure | HILLTOP SECURITIES INC. | PDF|XML | |
| 2024 | Q3 | 39543 | CAMBRIDGE INVESTMENT RESEARCH, INC. | No | NA | PDF|XML | NFSC |
| 2024 | Q3 | 39543 | CAMBRIDGE INVESTMENT RESEARCH, INC. | No | NA | PDF|XML | PERS |
| 2024 | Q3 | 1020 | CANACCORD GENUITY LLC | No | NA | PDF|XML | CSTI |
| 2024 | Q3 | 1020 | CANACCORD GENUITY LLC | No | NA | PDF|XML | ADAM |
| 2024 | Q3 | 134 | CANTOR FITZGERALD & CO. | No | NA | PDF|XML | |
| 2024 | Q3 | 7072 | CAPE SECURITIES INC. | YES - Disclosure | HILLTOP SECURITIES INC. | PDF|XML | |
| 2024 | Q3 | 126291 | CAPFINANCIAL SECURITIES, LLC. | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2024 | Q3 | 7551 | CAPITAL INSTITUTIONAL SERVICES, INC. | No | NA | PDF|XML | |
| 2024 | Q3 | 40657 | CAPITAL INVESTMENT BROKERAGE, INC. | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2024 | Q3 | 14752 | CAPITAL INVESTMENT GROUP, INC. | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2024 | Q3 | 10579 | CAPITAL MANAGEMENT SECURITIES, INC. | No | HILLTOP SECURITIES INC. | PDF|XML | |
| 2024 | Q3 | 44158 | CAPITAL ONE SECURITIES, INC. | No | NA | PDF|XML | |
| 2024 | Q3 | 44158 | CAPITAL ONE SECURITIES, INC. | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2024 | Q3 | 148733 | CAPITAL SYNERGY PARTNERS | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | RBCCLEARINGCUSTODY |
| 2024 | Q3 | 148733 | CAPITAL SYNERGY PARTNERS | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | RBCWEALTHMANAGEMENT |
| 2024 | Q3 | 14169 | CAPITOL SECURITIES MANAGEMENT, INC. | YES - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | PDF|XML | EQUITY |
| 2024 | Q3 | 14169 | CAPITOL SECURITIES MANAGEMENT, INC. | YES - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | PDF|XML | OPTIONS |
| 2024 | Q3 | 16187 | CARNES CAPITAL CORPORATION | YES - Disclosure | NATIONAL FINANCIAL SERVICES LLC | PDF|XML | |
| 2024 | Q3 | 16187 | CARNES CAPITAL CORPORATION | YES - Disclosure | VIRTU AMERICAS LLC | PDF|XML | |
| 2024 | Q3 | 16365 | CARTER, TERRY & COMPANY, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | RBCWEALTHMANAGEMENT |
| 2024 | Q3 | 16365 | CARTER, TERRY & COMPANY, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | RBCCLEARINGCUSTODY |
| 2024 | Q3 | 128089 | CARY STREET PARTNERS | YES - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | PDF|XML | |
| 2024 | Q3 | 35844 | CASCADE INVESTMENT GROUP, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | RBCWEALTHMANAGEMENT |
| 2024 | Q3 | 35844 | CASCADE INVESTMENT GROUP, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | RBCCLEARINGCUSTODY |
| 2024 | Q3 | 125334 | CASTLEOAK SECURITIES, LP | No | NA | PDF|XML | |
| 2024 | Q3 | 21821 | CATHAY SECURITIES, INC. | No | NA | ||
| 2024 | Q3 | 36538 | CELADON FINANCIAL GROUP LLC | No | NA | ||
| 2024 | Q3 | 30833 | CENTAURUS FINANCIAL, INC. | YES - Disclosure | CHARLES SCHWAB & CO., INC. | PDF|XML | |
| 2024 | Q3 | 30833 | CENTAURUS FINANCIAL, INC. | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2024 | Q3 | 155291 | CENTRAL STATES CAPITAL MARKETS, LLC | YES - Disclosure | HILLTOP SECURITIES INC. | PDF|XML | |
| 2024 | Q3 | 37869 | CEROS FINANCIAL SERVICES, INC. | YES - Disclosure | NATIONAL FINANCIAL SERVICES LLC | PDF|XML | |
| 2024 | Q3 | 37869 | CEROS FINANCIAL SERVICES, INC. | YES - Disclosure | AXOS CLEARING LLC | PDF|XML | |
| 2024 | Q3 | 37869 | CEROS FINANCIAL SERVICES, INC. | No | NA | PDF|XML | |
| 2024 | Q3 | 13572 | CETERA ADVISOR NETWORKS LLC | No | NA | PDF|XML | |
| 2024 | Q3 | 10299 | CETERA ADVISORS LLC | No | NA | PDF|XML | |
| 2024 | Q3 | 10358 | CETERA FINANCIAL SPECIALISTS LLC | No | NA | PDF|XML | |
| 2024 | Q3 | 15340 | CETERA INVESTMENT SERVICES LLC | No | NA | PDF|XML | |
| 2024 | Q3 | 25427 | CFD INVESTMENTS, INC. | No | NA | PDF|XML | |
| 2024 | Q3 | 28116 | CHAPIN, DAVIS | YES - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | PDF|XML |