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.
|
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 | 311868 | HAPI | YES - Disclosure | APEX CLEARING CORPORATION | PDF|XML | |
| 2025 | Q1 | 151085 | HARBOR INVESTMENT ADVISORY, LLC | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2025 | Q1 | 19258 | HARBOUR INVESTMENTS, INC. | No | NA | ||
| 2025 | Q1 | 396 | HAZLETT, BURT & WATSON, INC. | YES - Disclosure | NATIONAL FINANCIAL SERVICES LLC | PDF|XML | |
| 2025 | Q1 | 131453 | HENLEY & COMPANY LLC | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2025 | Q1 | 25766 | HENNION & WALSH, INC. | YES - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | PDF|XML | |
| 2025 | Q1 | 3420 | HERBERT J. SIMS & CO, INC. | No | NA | PDF|XML | |
| 2025 | Q1 | 44971 | HERNDON PLANT OAKLEY, LTD. | YES - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | PDF|XML | |
| 2025 | Q1 | 30996 | HEROLD & LANTERN INVESTMENTS, INC. | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2025 | Q1 | 116681 | HIGHTOWER SECURITIES, LLC | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2025 | Q1 | 116681 | HIGHTOWER SECURITIES, LLC | YES - Disclosure | NATIONAL FINANCIAL SERVICES LLC | PDF|XML | |
| 2025 | Q1 | 6220 | HILLTOP SECURITIES INC. | No | NA | PDF|XML | |
| 2025 | Q1 | 11643 | HORACE MANN INVESTORS, INC. | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2025 | Q1 | 11643 | HORACE MANN INVESTORS, INC. | No | NA | PDF|XML | |
| 2025 | Q1 | 4031 | HORNOR, TOWNSEND & KENT, LLC | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2025 | Q1 | 25425 | HOVDE GROUP, LLC | No | NA | ||
| 2025 | Q1 | 19585 | HSBC SECURITIES (USA) INC. | No | NA | ||
| 2025 | Q1 | 298809 | HUATAI SECURITIES (USA), INC. | No | NA | PDF|XML | |
| 2025 | Q1 | 30177 | HUNTER ASSOCIATES LLC | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2025 | Q1 | 30177 | HUNTER ASSOCIATES LLC | No | NA | PDF|XML | INFO |
| 2025 | Q1 | 7456 | HUNTLEIGH SECURITIES CORPORATION | YES - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | PDF|XML | |
| 2025 | Q1 | 106032 | IDB CAPITAL CORP. | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2025 | Q1 | 106032 | IDB CAPITAL CORP. | No | NA | PDF|XML | |
| 2025 | Q1 | 297287 | IFP SECURITIES, LLC | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2025 | Q1 | 301273 | IMC EXECUTION SERVICES | No | NA | PDF|XML | |
| 2025 | Q1 | 7717 | INDEPENDENT FINANCIAL GROUP, LLC | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2025 | Q1 | 131487 | INDUSTRIAL AND COMMERCIAL BANK OF CHINA FINANCIAL SERVICES LLC | No | NA | ||
| 2025 | Q1 | 140278 | INLET SECURITIES, LLC | YES - Disclosure | AXOS CLEARING LLC | PDF|XML | |
| 2025 | Q1 | 5611 | INSIGHT SECURITIES, INC. | YES - Disclosure | AXOS CLEARING LLC | PDF|XML | |
| 2025 | Q1 | 5611 | INSIGHT SECURITIES, INC. | YES - Disclosure | INTERACTIVE BROKERS LLC | ||
| 2025 | Q1 | 29249 | INSIGNEO SECURITIES, LLC | YES - Disclosure | STONEX FINANCIAL INC. | PDF|XML | |
| 2025 | Q1 | 29249 | INSIGNEO SECURITIES, LLC | No | NA | PDF|XML | |
| 2025 | Q1 | 7897 | INSTINET, LLC | No | NA | PDF|XML | |
| 2025 | Q1 | 120343 | INTEGRAL FINANCIAL LLC | YES - Disclosure | HILLTOP SECURITIES INC. | PDF|XML | |
| 2025 | Q1 | 139627 | INTEGRITY ALLIANCE, LLC. | No | NA | ||
| 2025 | Q1 | 36418 | INTERACTIVE BROKERS LLC | No | NA | ||
| 2025 | Q1 | 146667 | INTERCAM SECURITIES, INC. | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2025 | Q1 | 83 | INTERCOASTAL CAPITAL MARKETS, INC. | YES - Disclosure | STONEX FINANCIAL INC. | PDF|XML | |
| 2025 | Q1 | 83 | INTERCOASTAL CAPITAL MARKETS, INC. | YES - Disclosure | HILLTOP SECURITIES INC. | PDF|XML | |
| 2025 | Q1 | 10645 | INTERNATIONAL ASSETS ADVISORY, LLC | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | RBCWEALTHMANAGEMENT |
| 2025 | Q1 | 10645 | INTERNATIONAL ASSETS ADVISORY, LLC | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2025 | Q1 | 10645 | INTERNATIONAL ASSETS ADVISORY, LLC | YES - Disclosure | RBC CAPITAL MARKETS, LLC | RBCCLEARINGCUSTODY | |
| 2025 | Q1 | 19418 | INTESA SANPAOLO IMI SECURITIES CORP. | No | NA | ||
| 2025 | Q1 | 6939 | INVESCO CAPITAL MARKETS, INC. | No | NA | ||
| 2025 | Q1 | 6939 | INVESCO CAPITAL MARKETS, INC. | YES - Disclosure | BOFA SECURITIES, INC. | PDF|XML | |
| 2025 | Q1 | 6939 | INVESCO CAPITAL MARKETS, INC. | YES - Disclosure | VIRTU AMERICAS LLC | PDF|XML | |
| 2025 | Q1 | 6939 | INVESCO CAPITAL MARKETS, INC. | YES - Disclosure | CLEARPOOL EXECUTION SERVICES, LLC | PDF|XML | |
| 2025 | Q1 | 14458 | INVESTMENT PLACEMENT GROUP | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2025 | Q1 | 13037 | INVESTORS BROKERAGE OF TEXAS, LTD. | YES - Disclosure | HILLTOP SECURITIES INC. | PDF|XML | |
| 2025 | Q1 | 30032 | INVEX, LLC. | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2025 | Q1 | 7413 | ISAAK BOND INVESTMENTS, INC. | YES - Disclosure | HILLTOP SECURITIES INC. | PDF|XML | |
| 2025 | Q1 | 299039 | IUR SECURITIES LLC | YES - Disclosure | INTERACTIVE BROKERS LLC | ||
| 2025 | Q1 | 8040 | J K R & COMPANY, INC. | No | NA | ||
| 2025 | Q1 | 79 | J.P. MORGAN SECURITIES LLC | No | NA | PDF|XML | |
| 2025 | Q1 | 149758 | J.V.B. FINANCIAL GROUP, LLC | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2025 | Q1 | 124583 | J.W. COLE FINANCIAL, INC. | YES - Disclosure | NATIONAL FINANCIAL SERVICES LLC | PDF|XML |