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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 701 - 800 of 6439 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 301273 IMC EXECUTION SERVICES No NA PDF|XML
2025 Q1 7717 INDEPENDENT FINANCIAL GROUP, LLC YES - Disclosure PERSHING LLC PDF|XML
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 PDF
2025 Q1 29249 INSIGNEO SECURITIES, LLC No NA PDF|XML
2025 Q1 29249 INSIGNEO SECURITIES, LLC YES - Disclosure STONEX FINANCIAL INC. 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 PDF
2025 Q1 36418 INTERACTIVE BROKERS LLC No NA PDF
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
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 RBCCLEARINGCUSTODY
2025 Q1 19418 INTESA SANPAOLO IMI SECURITIES CORP. No NA PDF
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 6939 INVESCO CAPITAL MARKETS, INC. YES - Disclosure BOFA SECURITIES, INC. PDF|XML
2025 Q1 6939 INVESCO CAPITAL MARKETS, INC. No NA PDF
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 PDF
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
2025 Q1 167280 JANE STREET EXECUTION SERVICES, LLC No NA PDF|XML
2025 Q1 463 JANNEY MONTGOMERY SCOTT LLC No NA PDF|XML
2025 Q1 2347 JEFFERIES LLC No NA PDF|XML
2025 Q1 19524 JOHNSON RICE & COMPANY L.L.C. No NA PDF|XML
2025 Q1 6888 JONESTRADING No NA PDF|XML
2025 Q1 24795 JOSEPH GUNNAR & CO. LLC No RBC CAPITAL MARKETS, LLC PDF|XML
2025 Q1 24795 JOSEPH GUNNAR & CO. LLC No RBC CAPITAL MARKETS, LLC PDF|XML RBCWEALTHMANAGEMENT
2025 Q1 24795 JOSEPH GUNNAR & CO. LLC No RBC CAPITAL MARKETS, LLC PDF RBCCLEARINGCUSTODY
2025 Q1 24795 JOSEPH GUNNAR & CO. LLC No NA PDF|XML
2025 Q1 32029 KA ASSOCIATES, LLC No NA PDF|XML
2025 Q1 156175 KAYAN SECURITIES, INC. YES - Disclosure WEDBUSH SECURITIES INC. PDF|XML
2025 Q1 39356 KBFG SECURITIES AMERICA INC. YES - Disclosure APEX CLEARING CORPORATION PDF|XML
2025 Q1 127473 KCD FINANCIAL, INC. YES - Disclosure HILLTOP SECURITIES INC. PDF|XML
2025 Q1 481 KEEFE, BRUYETTE & WOODS, INC. No NA PDF|XML
2025 Q1 139148 KEPLER CAPITAL MARKETS, INC. No NA PDF|XML
2025 Q1 42046 KESTRA INVESTMENT SERVICES, LLC No NA PDF
2025 Q1 136300 KEY INVESTMENT SERVICES LLC No NA PDF|XML
2025 Q1 566 KEYBANC CAPITAL MARKETS INC. No NA PDF|XML
2025 Q1 2440 KIMELMAN & BAIRD, LLC YES - Disclosure NATIONAL FINANCIAL SERVICES LLC PDF|XML
2025 Q1 2440 KIMELMAN & BAIRD, LLC No NA PDF|XML
2025 Q1 288898 KINGSWOOD CAPITAL PARTNERS, LLC YES - Disclosure RAYMOND JAMES & ASSOCIATES, INC. PDF|XML OPTIONS
2025 Q1 288898 KINGSWOOD CAPITAL PARTNERS, LLC YES - Disclosure RBC CAPITAL MARKETS, LLC PDF RBCCLEARINGCUSTODY
2025 Q1 288898 KINGSWOOD CAPITAL PARTNERS, LLC YES - Disclosure RAYMOND JAMES & ASSOCIATES, INC. PDF|XML EQUITY
2025 Q1 288898 KINGSWOOD CAPITAL PARTNERS, LLC YES - Disclosure RBC CAPITAL MARKETS, LLC PDF|XML RBCWEALTHMANAGEMENT
2025 Q1 288898 KINGSWOOD CAPITAL PARTNERS, LLC YES - Disclosure APEX CLEARING CORPORATION XML
2025 Q1 288898 KINGSWOOD CAPITAL PARTNERS, LLC YES - Disclosure RBC CAPITAL MARKETS, LLC XML