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DAVIDSON (D.A.) & CO. INC.

Information

Reporter ID: DADA
Reporter Type: Broker-Dealer
Current Report URL: https://public.s3.com/rule605/dada/

Submission History

Submit Date	Report URL	Comments
07-29-2026	https://public.s3.com/rule605/dada/
11-19-2015	http://vrs.vista-one-solutions.com/sec605rule.aspx

DAIWA CAPITAL MARKETS AMERICA INC.

Information

Reporter ID: DAWA
Reporter Type: OTC Market Maker
Current Report URL: https://brxecs.broadridge.com/public/d4568e59-8f68-d4d7-9c90-b6a0d29ab1c6

Submission History

Submit Date	Report URL	Comments
11-02-2020	https://brxecs.broadridge.com/public/d4568e59-8f68-d4d7-9c90-b6a0d29ab1c6

CODA Markets, Inc.

Information

Reporter ID: CODA
Reporter Type: Alternative Trading System
Current Report URL: https://public.s3.com/rule605/coda/

Submission History

Submit Date	Report URL	Comments
09-26-2022	https://public.s3.com/rule605/coda/	For reports prior to July 2020 please see:https://nms605.karngroup.com/41422b985130394551513d3d

CITIGROUP GLOBAL MARKETS INC.

Information

Reporter ID: SBSH
Reporter Type: Broker-Dealer
Current Report URL: https://www.citigroup.com/rcs/citigpa/storage/public/sec-rule-605-disclosure_202501.pdf

Submission History

Submit Date	Report URL	Comments
07-31-2026	https://www.citigroup.com/rcs/citigpa/storage/public/sec-rule-605-disclosure_202501.pdf
05-09-2023	https://www.citigroup.com/icg/about/assets/docs/SEC-Rule-605-Disclosure.pdf

CITADEL SECURITIES, LLC

Information

Reporter ID: CDRG
Reporter Type: OTC Market Maker
Current Report URL: https://www.citadelsecurities.com/rule-605-606-statements/

Submission History

Submit Date	Report URL	Comments
07-28-2026	https://www.citadelsecurities.com/rule-605-606-statements/
07-01-2026	https://www.finra.org/filing-reporting/regulation-nms/sec-rule-605-reports
07-01-2026	https://www.citadelsecurities.com/rule-605-606-statements/
11-27-2019	http://www.citadelsecurities.com/rule-605-606-statements/

CANTOR, FITZGERALD & CO.

Information

Reporter ID: CANT
Reporter Type: Broker-Dealer
Current Report URL: https://disclosure.bestxstats.com/cant/605/

Submission History

Submit Date	Report URL	Comments
08-03-2026	https://disclosure.bestxstats.com/cant/605/
07-17-2026	https://nam11.safelinks.protection.outlook.com/?url=https%3A%2F%2Fdisclosure.bxstech.com%2Fcant%2F605%2F&data=05%7C02%7CScott.Solowey%40cantor.com%7C4cd190bd87ec45462fc908ded21ca4eb%7Ccfeb5f5e839a44b8ab4647157d8f1241%7C0%7C0%7C639179218007842206%7CUnknown%7CTWFpbGZsb3d8eyJFbXB0eU1hcGkiOnRydWUsIlYiOiIwLjAuMDAwMCIsIlAiOiJXaW4zMiIsIkFOIjoiTWFpbCIsIldUIjoyfQ%3D%3D%7C0%7C%7C%7C&sdata=Fdb1SLRIe%2FJSjvXizTPgTFSZZ43u2igROQb10IaK8vc%3D&reserved=0
08-25-2015	http://disclosures.bxstech.com/cant/	disclosures.bxstech.com/cant/

Canaccord Genuity Inc.

Information

Reporter ID: CSTI
Reporter Type: OTC Market Maker
Current Report URL: http://vrs.vista-one-solutions.com/sec605rule.aspx

Submission History

Submit Date	Report URL	Comments
09-01-2015	http://vrs.vista-one-solutions.com/sec605rule.aspx

CANACCORD GENUITY INC.

Information

Reporter ID: ADAM
Reporter Type: OTC Market Maker
Current Report URL: http://vrs.vista-one-solutions.com/sec605rule.aspx

Submission History

Submit Date	Report URL	Comments
09-01-2015	http://vrs.vista-one-solutions.com/sec605rule.aspx	Prior to 9/30/07 the website was

C. L. KING & ASSOCIATES, INC.

Information

Reporter ID: KING
Reporter Type: OTC Market Maker
Current Report URL: https://www.fisglobal.com/en/ptc/rule-605

Submission History

Submit Date	Report URL	Comments
09-08-2022	https://www.fisglobal.com/en/ptc/rule-605

BTIG, LLC

Information

Reporter ID: BTIG
Reporter Type: Broker-Dealer
Current Report URL: https://public.s3.com/rule605/btig/

Submission History

Submit Date	Report URL	Comments
06-24-2026	https://public.s3.com/rule605/btig/	Reporter Type changed from OTC Market Maker to Broker-Dealer.
08-13-2015	https://public.s3.com/rule605/btig/