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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 601 - 700 of 6594 Glossary
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.
2025 Q1 3641 FIRST COMMAND BROKERAGE SERVICES, INC. No NA XML
2025 Q1 24549 FIRST DALLAS SECURITIES INCORPORATED YES - Disclosure WELLS FARGO CLEARING SERVICES, LLC PDF|XML
2025 Q1 32460 FIRST HEARTLAND CAPITAL, INC. YES - Disclosure PERSHING LLC PDF|XML
2025 Q1 32460 FIRST HEARTLAND CAPITAL, INC. No NA PDF|XML
2025 Q1 17117 FIRST HORIZON ADVISORS, INC. YES - Disclosure NATIONAL FINANCIAL SERVICES LLC PDF|XML
2025 Q1 7524 FIRST KENTUCKY SECURITIES CORPORATION YES - Disclosure RBC CAPITAL MARKETS, LLC PDF|XML RBCWEALTHMANAGEMENT
2025 Q1 7524 FIRST KENTUCKY SECURITIES CORPORATION YES - Disclosure RBC CAPITAL MARKETS, LLC PDF|XML
2025 Q1 7524 FIRST KENTUCKY SECURITIES CORPORATION YES - Disclosure RBC CAPITAL MARKETS, LLC PDF RBCCLEARINGCUSTODY
2025 Q1 14627 FIRST SECURITIES NORTHWEST, INC. YES - Disclosure HILLTOP SECURITIES INC. PDF|XML
2025 Q1 282756 FIRST SOUTHERN, LLC YES - Disclosure PERSHING LLC PDF|XML
2025 Q1 7336 FIRST TRYON SECURITIES, LLC YES - Disclosure HILLTOP SECURITIES INC. PDF|XML
2025 Q1 19537 FIRST WESTERN SECURITIES, INC. YES - Disclosure WELLS FARGO CLEARING SERVICES, LLC PDF|XML
2025 Q1 16843 FIRSTRADE SECURITIES INC. No NA PDF|XML
2025 Q1 104233 FLAGSTAR ADVISORS YES - Disclosure NATIONAL FINANCIAL SERVICES LLC PDF|XML
2025 Q1 38105 FMN CAPITAL CORPORATION YES - Disclosure NATIONAL FINANCIAL SERVICES LLC PDF|XML
2025 Q1 38105 FMN CAPITAL CORPORATION No NA PDF|XML
2025 Q1 132091 FNBB CAPITAL MARKETS, LLC YES - Disclosure HILLTOP SECURITIES INC. PDF|XML
2025 Q1 319 FOLGER NOLAN FLEMING DOUGLAS INCORPORATED YES - Disclosure PERSHING LLC PDF|XML
2025 Q1 283965 FOLIONET FINANCIAL LLC YES - Disclosure APEX CLEARING CORPORATION PDF|XML
2025 Q1 283965 FOLIONET FINANCIAL LLC YES - Disclosure STONEX FINANCIAL INC. PDF|XML
2025 Q1 282331 FORIS CAPITAL US LLC YES - Disclosure APEX CLEARING CORPORATION PDF|XML
2025 Q1 38373 FORTE SECURITIES LLC No NA PDF
2025 Q1 290298 FORTRESS PRIVATE LEDGER, LLC YES - Disclosure INTERACTIVE BROKERS LLC PDF
2025 Q1 137945 FOUNDERS FINANCIAL SECURITIES LLC YES - Disclosure PERSHING LLC PDF|XML
2025 Q1 316641 FREC SECURITIES LLC YES - Disclosure APEX CLEARING CORPORATION PDF|XML
2025 Q1 17465 FROST BROKERAGE SERVICES, INC. No NA PDF|XML
2025 Q1 298769 FUTU CLEARING INC No NA PDF|XML
2025 Q1 17486 G. A. REPPLE & COMPANY No NA PDF
2025 Q1 7353 G.RESEARCH, LLC No NA PDF|XML
2025 Q1 7353 G.RESEARCH, LLC YES - Disclosure WELLS FARGO CLEARING SERVICES, LLC PDF|XML
2025 Q1 103727 GAGNON SECURITIES, LLC No NA PDF|XML NFS
2025 Q1 103727 GAGNON SECURITIES, LLC No NA PDF|XML SPGLOBAL
2025 Q1 138033 GAR WOOD SECURITIES, LLC No NA PDF|XML GARW
2025 Q1 138033 GAR WOOD SECURITIES, LLC No NA PDF|XML GRWD
2025 Q1 138033 GAR WOOD SECURITIES, LLC YES - Disclosure INTERACTIVE BROKERS LLC PDF
2025 Q1 10083 GARDEN STATE SECURITIES, INC. No NA PDF|XML
2025 Q1 28684 GBM INTERNATIONAL, INC. No NA XML
2025 Q1 120894 GENEOS WEALTH MANAGEMENT, INC. No NA PDF|XML
2025 Q1 46749 GEORGESON SECURITIES CORPORATION YES - Disclosure BOFA SECURITIES, INC. PDF|XML
2025 Q1 19982 GFI SECURITIES LLC No NA PDF|XML
2025 Q1 2002 GILDER GAGNON HOWE & CO. LLC No NA PDF|XML
2025 Q1 14559 GILL CAPITAL PARTNERS, LLC YES - Disclosure HILLTOP SECURITIES INC. PDF|XML
2025 Q1 1834 GIRARD INVESTMENT SERVICES, LLC YES - Disclosure PERSHING LLC PDF|XML
2025 Q1 124504 GLEN EAGLE WEALTH, LLC No NA PDF|XML SPGLOBAL
2025 Q1 37505 GLOBAL BROKERAGE SERVICES, INC. YES - Disclosure HILLTOP SECURITIES INC. PDF|XML
2025 Q1 35699 GLOBAL FINANCIAL SERVICES, L.L.C. YES - Disclosure RAYMOND JAMES & ASSOCIATES, INC. PDF|XML EQUITY
2025 Q1 35699 GLOBAL FINANCIAL SERVICES, L.L.C. YES - Disclosure PERSHING LLC PDF|XML
2025 Q1 35699 GLOBAL FINANCIAL SERVICES, L.L.C. YES - Disclosure RAYMOND JAMES & ASSOCIATES, INC. PDF|XML OPTIONS
2025 Q1 29721 GLOBALINK SECURITIES, INC. No NA PDF|XML
2025 Q1 29721 GLOBALINK SECURITIES, INC. No WEDBUSH SECURITIES INC. XML
2025 Q1 29721 GLOBALINK SECURITIES, INC. No INTERACTIVE BROKERS LLC PDF
2025 Q1 361 GOLDMAN SACHS & CO. LLC No NA PDF|XML
2025 Q1 48015 GOLDMAN SACHS CUSTODY SOLUTIONS No NA PDF|XML
2025 Q1 127701 GRADIENT SECURITIES, LLC YES - Disclosure RBC CAPITAL MARKETS, LLC PDF
2025 Q1 127701 GRADIENT SECURITIES, LLC YES - Disclosure RBC CAPITAL MARKETS, LLC PDF RBCCLEARINGCUSTODY
2025 Q1 127701 GRADIENT SECURITIES, LLC YES - Disclosure RBC CAPITAL MARKETS, LLC PDF RBCWEALTHMANAGEMENT