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.
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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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| 2026 | Q2 | 281065 | OUTSET GLOBAL TRADING LIMITED | NO | NA | XML | |
| 2026 | Q2 | 10963 | PAPAMARKOU WELLNER & CO., INC. | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2026 | Q2 | 134657 | PAR5 CAPITAL & CO LLC | NO | NA | PDF|XML | |
| 2026 | Q2 | 134657 | PAR5 CAPITAL & CO LLC | YES | PERSHING LLC | PDF|XML | |
| 2026 | Q2 | 115368 | PARKLAND SECURITIES, LLC | NO | NA | PDF|XML | |
| 2026 | Q2 | 5670 | PAULSON INVESTMENT COMPANY LLC | NO | NA | PDF|XML | |
| 2026 | Q2 | 324533 | PAVE SECURITIES, LLC | YES - Disclosure | INTERACTIVE BROKERS LLC | PDF|XML | |
| 2026 | Q2 | 145994 | PENSERRA SECURITIES, LLC | NO | NA | PDF|XML | |
| 2026 | Q2 | 145994 | PENSERRA SECURITIES, LLC | NO | NA | PDF|XML | CHBC |
| 2026 | Q2 | 36671 | PERSHING ADVISOR SOLUTIONS LLC | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2026 | Q2 | 7560 | PERSHING LLC | NO | NA | PDF|XML | |
| 2026 | Q2 | 104387 | PGM GLOBAL INC. | NO | NA | PDF|XML | |
| 2026 | Q2 | 35800 | PHILLIPS & COMPANY | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2026 | Q2 | 36500 | PICTET OVERSEAS INC. | NO | NA | PDF|XML | |
| 2026 | Q2 | 665 | PIPER SANDLER & CO. | NO | NA | PDF|XML | |
| 2026 | Q2 | 126867 | PLACE TRADE FINANCIAL, INC. | YES - Disclosure | INTERACTIVE BROKERS LLC | PDF|XML | |
| 2026 | Q2 | 11869 | PLANMEMBER SECURITIES CORPORATION | NO | NA | PDF|XML | |
| 2026 | Q2 | 38901 | PLP CAPITAL | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2026 | Q2 | 129052 | PNC WEALTH MANAGEMENT LLC | NO | NA | PDF|XML | |
| 2026 | Q2 | 8096 | POPULAR SECURITIES, LLC | NO | NA | PDF|XML | |
| 2026 | Q2 | 31155 | PORTFOLIO RESOURCES GROUP, INC. | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2026 | Q2 | 32889 | PRIME EXECUTIONS, INC. | NO | NA | PDF|XML | |
| 2026 | Q2 | 120222 | PRIVATE CLIENT SERVICES, LLC | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2026 | Q2 | 36644 | PRIVATE PORTFOLIO, INC. | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2026 | Q2 | 304587 | PUENTE SERVICIOS FINANCIEROS LLC | NO | NA | PDF|XML | |
| 2026 | Q2 | 304587 | PUENTE SERVICIOS FINANCIEROS LLC | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2026 | Q2 | 35747 | PURSHE KAPLAN STERLING INVESTMENTS | NO | NA | PDF|XML | |
| 2026 | Q2 | 321974 | PWA SECURITIES, LLC | YES - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | PDF|XML | |
| 2026 | Q2 | 153906 | QUANTRIVER FINANCIAL, LLC | YES - Disclosure | INTERACTIVE BROKERS LLC | PDF|XML | |
| 2026 | Q2 | 2498 | R. F. LAFFERTY & CO., INC. | NO | NA | PDF|XML | |
| 2026 | Q2 | 14974 | R. SEELAUS & CO., LLC | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2026 | Q2 | 7612 | R.M. STARK & CO., INC. | YES | PERSHING LLC | PDF|XML | |
| 2026 | Q2 | 705 | RAYMOND JAMES & ASSOCIATES, INC. | NO | NA | PDF|XML | |
| 2026 | Q2 | 25853 | RAYMOND JAMES (USA) LTD. | NO | NA | PDF|XML | |
| 2026 | Q2 | 25853 | RAYMOND JAMES (USA) LTD. | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2026 | Q2 | 6694 | RAYMOND JAMES FINANCIAL SERVICES, INC. | YES - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | PDF|XML | |
| 2026 | Q2 | 31194 | RBC CAPITAL MARKETS, LLC | NO | NA | PDF|XML | |
| 2026 | Q2 | 15548 | RCM SECURITIES | NO | NA | ||
| 2026 | Q2 | 15548 | RCM SECURITIES | YES - Disclosure | INTERACTIVE BROKERS LLC | PDF|XML | |
| 2026 | Q2 | 23769 | REALTA EQUITIES, INC. | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2026 | Q2 | 7297 | REGAL SECURITIES, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2026 | Q2 | 7297 | REGAL SECURITIES, INC. | NO | NA | PDF|XML | |
| 2026 | Q2 | 14178 | REVERE SECURITIES LLC | NO | NA | PDF|XML | |
| 2026 | Q2 | 21606 | RICE FINANCIAL PRODUCTS COMPANY | NO | NA | ||
| 2026 | Q2 | 30812 | RIEDL FIRST SECURITIES COMPANY OF KANSAS | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2026 | Q2 | 19456 | ROBERTS & RYAN, INC. | NO | NA | ||
| 2026 | Q2 | 13251 | ROBOTTI SECURITIES, LLC | NO | NA | ||
| 2026 | Q2 | 291361 | ROCKEFELLER FINANCIAL LLC | NO | NA | PDF|XML | |
| 2026 | Q2 | 18377 | ROSENBLATT SECURITIES INC. | NO | NA | PDF|XML | |
| 2026 | Q2 | 140564 | ROTHSCHILD & CO REDBURN | NO | NA | XML | |
| 2026 | Q2 | 728 | ROTHSCHILD INVESTMENT LLC | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2026 | Q2 | 148137 | SABADELL SECURITIES USA, INC. | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2026 | Q2 | 47873 | SAFRA SECURITIES LLC | NO | NA | PDF|XML |