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 5701 - 5800 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 | 5393 | CHARLES SCHWAB & CO., INC. | No | NA | PDF|XML | |
| 2024 | Q3 | 47770 | CHELSEA FINANCIAL SERVICES | YES - Disclosure | HILLTOP SECURITIES INC. | PDF|XML | |
| 2024 | Q3 | 128711 | CHICKASAW SECURITIES, LLC | No | NA | PDF|XML | |
| 2024 | Q3 | 166318 | CHINA RENAISSANCE SECURITIES (US) INC. | No | NA | PDF|XML | |
| 2024 | Q3 | 104021 | CHOICETRADE | No | NA | PDF|XML | |
| 2024 | Q3 | 39462 | CHURCHILL FINANCIAL, LLC | No | NA | PDF|XML | |
| 2024 | Q3 | 39462 | CHURCHILL FINANCIAL, LLC | YES - Disclosure | NATIONAL FINANCIAL SERVICES LLC | PDF|XML | |
| 2024 | Q3 | 630 | CIBC WORLD MARKETS CORP. | No | NA | ||
| 2024 | Q3 | 143221 | CICC US SECURITIES, INC. | YES - Disclosure | BTIG, LLC | XML | |
| 2024 | Q3 | 143221 | CICC US SECURITIES, INC. | YES - Disclosure | CLEARPOOL EXECUTION SERVICES, LLC | PDF|XML | |
| 2024 | Q3 | 143221 | CICC US SECURITIES, INC. | No | NA | PDF|XML | |
| 2024 | Q3 | 281102 | CITADEL SECURITIES INSTITUTIONAL LLC | No | NA | PDF|XML | |
| 2024 | Q3 | 7059 | CITIGROUP GLOBAL MARKETS INC. | No | NA | PDF|XML | SBSH |
| 2024 | Q3 | 7059 | CITIGROUP GLOBAL MARKETS INC. | No | NA | PDF|XML | CGWM |
| 2024 | Q3 | 22208 | CITIZENS JMP SECURITIES, LLC | No | NA | PDF|XML | |
| 2024 | Q3 | 39550 | CITIZENS SECURITIES, INC. | No | NA | PDF|XML | |
| 2024 | Q3 | 103705 | CITY NATIONAL SECURITIES, INC. | YES - Disclosure | NATIONAL FINANCIAL SERVICES LLC | PDF|XML | |
| 2024 | Q3 | 103705 | CITY NATIONAL SECURITIES, INC. | No | NA | PDF|XML | |
| 2024 | Q3 | 30882 | CLARKSONS SECURITIES, INC | No | NA | PDF|XML | |
| 2024 | Q3 | 288933 | CLEAR STREET LLC | No | NA | PDF|XML | |
| 2024 | Q3 | 168490 | CLEARPOOL EXECUTION SERVICES, LLC | No | NA | PDF|XML | |
| 2024 | Q3 | 165533 | CLSA AMERICAS, LLC | No | NA | PDF|XML | |
| 2024 | Q3 | 18466 | CNR SECURITIES, LLC | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2024 | Q3 | 18466 | CNR SECURITIES, LLC | No | NA | ||
| 2024 | Q3 | 132078 | COBRA TRADING, INC. | No | NA | PDF|XML | |
| 2024 | Q3 | 132078 | COBRA TRADING, INC. | YES - Disclosure | WEDBUSH SECURITIES INC. | PDF|XML | |
| 2024 | Q3 | 132078 | COBRA TRADING, INC. | YES - Disclosure | INTERACTIVE BROKERS LLC | ||
| 2024 | Q3 | 29163 | COKER & PALMER | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | RBCCLEARINGCUSTODY |
| 2024 | Q3 | 29163 | COKER & PALMER | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | RBCWEALTHMANAGEMENT |
| 2024 | Q3 | 7477 | COLLIERS SECURITIES LLC | No | NA | PDF|XML | INFO |
| 2024 | Q3 | 3013 | COLONIAL SECURITIES, INC. | YES - Disclosure | HILLTOP SECURITIES INC. | PDF|XML | |
| 2024 | Q3 | 104343 | COLORADO FINANCIAL SERVICE CORPORATION | YES - Disclosure | HILLTOP SECURITIES INC. | PDF|XML | |
| 2024 | Q3 | 8032 | COMMONWEALTH FINANCIAL NETWORK | YES - Disclosure | NATIONAL FINANCIAL SERVICES LLC | PDF|XML | |
| 2024 | Q3 | 8032 | COMMONWEALTH FINANCIAL NETWORK | No | NA | PDF|XML | |
| 2024 | Q3 | 8032 | COMMONWEALTH FINANCIAL NETWORK | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2024 | Q3 | 8032 | COMMONWEALTH FINANCIAL NETWORK | No | NA | PDF|XML | PERS |
| 2024 | Q3 | 126258 | COMPASS POINT RESEARCH & TRADING, LLC | No | NA | PDF|XML | |
| 2024 | Q3 | 325118 | COMPOSER SECURITIES LLC | YES - Disclosure | ALPACA SECURITIES LLC | PDF|XML | |
| 2024 | Q3 | 325118 | COMPOSER SECURITIES LLC | YES - Disclosure | APEX CLEARING CORPORATION | PDF|XML | |
| 2024 | Q3 | 15708 | CONCOURSE FINANCIAL GROUP SECURITIES, INC. | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2024 | Q3 | 15708 | CONCOURSE FINANCIAL GROUP SECURITIES, INC. | No | NA | ||
| 2024 | Q3 | 18810 | CONSOLIDATED FINANCIAL INVESTMENTS, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | RBCWEALTHMANAGEMENT |
| 2024 | Q3 | 18810 | CONSOLIDATED FINANCIAL INVESTMENTS, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | RBCCLEARINGCUSTODY |
| 2024 | Q3 | 29775 | CONTINENTAL INVESTORS SERVICES, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | RBCCLEARINGCUSTODY |
| 2024 | Q3 | 29775 | CONTINENTAL INVESTORS SERVICES, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | RBCWEALTHMANAGEMENT |
| 2024 | Q3 | 18637 | COOPER MALONE MCCLAIN, INC. | YES - Disclosure | HILLTOP SECURITIES INC. | PDF|XML | |
| 2024 | Q3 | 14762 | COORDINATED CAPITAL SECURITIES, INC. | YES - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | PDF|XML | |
| 2024 | Q3 | 38690 | CORPORATE INVESTMENTS GROUP, INC. | YES - Disclosure | AXOS CLEARING LLC | PDF|XML | |
| 2024 | Q3 | 7616 | COWEN AND COMPANY | No | NA | ||
| 2024 | Q3 | 121395 | CRAIG-HALLUM CAPITAL GROUP LLC | No | NA | XML | |
| 2024 | Q3 | 38964 | CREAND SECURITIES | No | NA | PDF|XML | |
| 2024 | Q3 | 152974 | CREATIVEONE SECURITIES, LLC | No | NA | PDF|XML | |
| 2024 | Q3 | 136791 | CREDICORP CAPITAL LLC | YES - Disclosure | ALPACA SECURITIES LLC | PDF|XML | |
| 2024 | Q3 | 136791 | CREDICORP CAPITAL LLC | YES - Disclosure | PERSHING LLC | XML |