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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| 2025 | Q4 | 35127 | ABACUS INVESTMENTS, INC. | YES - Disclosure | HILLTOP SECURITIES INC. | PDF|XML | |
| 2025 | Q4 | 14020 | ABN AMRO CLEARING USA LLC | NO | NA | PDF|XML | |
| 2025 | Q4 | 17433 | ACADEMY SECURITIES, INC. | NO | NA | PDF|XML | |
| 2025 | Q4 | 41768 | ACE DIVERSIFIED CAPITAL, INC. | YES - Disclosure | WEDBUSH SECURITIES INC. | PDF|XML | |
| 2025 | Q4 | 1042 | ALLEN & COMPANY LLC | NO | NA | PDF|XML | |
| 2025 | Q4 | 300262 | ALPHALEDGER MARKETS, INC. | YES - Disclosure | HILLTOP SECURITIES INC. | PDF|XML | |
| 2025 | Q4 | 41139 | ALTERNA SECURITIES, INC. | NO | NA | PDF|XML | |
| 2025 | Q4 | 17437 | AMERICAN CENTURY INVESTMENT SERVICES INC. | NO | NA | PDF|XML | |
| 2025 | Q4 | 26506 | AMERICAN ENTERPRISE INVESTMENT SERVICES INC. | NO | NA | PDF|XML | |
| 2025 | Q4 | 7388 | AMERICAN GLOBAL WEALTH MANAGEMENT, INC. | YES - Disclosure | HILLTOP SECURITIES INC. | PDF|XML | |
| 2025 | Q4 | 6363 | AMERIPRISE FINANCIAL SERVICES, LLC | YES - Disclosure | AMERICAN ENTERPRISE INVESTMENT SERVICES INC. | PDF|XML | |
| 2025 | Q4 | 14869 | AMERITAS INVESTMENT COMPANY, LLC | NO | NA | PDF|XML | |
| 2025 | Q4 | 284714 | ANOS CAPITAL, LLC | NO | NA | PDF|XML | |
| 2025 | Q4 | 44656 | ARCADIA SECURITIES, LLC | NO | NA | ||
| 2025 | Q4 | 142374 | AVENTURA SECURITIES, LLC | NO | NA | PDF|XML | |
| 2025 | Q4 | 19714 | BARCLAYS CAPITAL INC. | NO | NA | PDF|XML | LEHM |
| 2025 | Q4 | 24771 | BEECH HILL SECURITIES, INC. | NO | NA | PDF|XML | |
| 2025 | Q4 | 159940 | BENCHMARK SECURITIES LLC | YES - Disclosure | HILLTOP SECURITIES INC. | PDF|XML | |
| 2025 | Q4 | 156757 | BERENBERG CAPITAL MARKETS LLC | NO | NA | PDF|XML | |
| 2025 | Q4 | 13609 | BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC. | NO | NA | PDF|XML | NFS |
| 2025 | Q4 | 44057 | BMO NESBITT BURNS SECURITIES LTD. | NO | NA | PDF|XML | |
| 2025 | Q4 | 1331 | BROWN, LISLE/CUMMINGS, INC. | NO | NA | PDF|XML | |
| 2025 | Q4 | 159712 | CABOT LODGE SECURITIES LLC | YES - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | PDF|XML | |
| 2025 | Q4 | 20999 | CALTON & ASSOCIATES, INC. | YES - Disclosure | HILLTOP SECURITIES INC. | PDF|XML | |
| 2025 | Q4 | 39543 | CAMBRIDGE INVESTMENT RESEARCH, INC. | NO | NA | PDF|XML | NFSC |
| 2025 | Q4 | 39543 | CAMBRIDGE INVESTMENT RESEARCH, INC. | NO | NA | PDF|XML | PERS |
| 2025 | Q4 | 7072 | CAPE SECURITIES INC. | YES - Disclosure | HILLTOP SECURITIES INC. | PDF|XML | |
| 2025 | Q4 | 7551 | CAPIS | NO | NA | PDF|XML | |
| 2025 | Q4 | 10579 | CAPITAL MANAGEMENT SECURITIES, INC. | YES | HILLTOP SECURITIES INC. | PDF|XML | |
| 2025 | Q4 | 44158 | CAPITAL ONE SECURITIES, INC. | NO | NA | PDF|XML | |
| 2025 | Q4 | 14169 | CAPITOL SECURITIES MANAGEMENT, INC. | YES - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | PDF|XML | |
| 2025 | Q4 | 16187 | CARNES CAPITAL CORPORATION | YES - Disclosure | VIRTU AMERICAS LLC | PDF|XML | |
| 2025 | Q4 | 125334 | CASTLEOAK SECURITIES, LP | NO | NA | PDF|XML | |
| 2025 | Q4 | 36538 | CELADON FINANCIAL GROUP LLC | NO | NA | PDF|XML | |
| 2025 | Q4 | 30833 | CENTAURUS FINANCIAL, INC. | YES - Disclosure | CHARLES SCHWAB & CO., INC. | PDF|XML | |
| 2025 | Q4 | 155291 | CENTRAL STATES CAPITAL MARKETS, LLC | YES - Disclosure | HILLTOP SECURITIES INC. | PDF|XML | |
| 2025 | Q4 | 10299 | CETERA ADVISORS LLC | NO | NA | PDF|XML | |
| 2025 | Q4 | 10358 | CETERA FINANCIAL SPECIALISTS LLC | NO | NA | PDF|XML | |
| 2025 | Q4 | 15340 | CETERA INVESTMENT SERVICES LLC | NO | NA | PDF|XML | |
| 2025 | Q4 | 13572 | CETERA WEALTH SERVICES, LLC | NO | NA | PDF|XML | |
| 2025 | Q4 | 25427 | CFD INVESTMENTS, INC. | NO | NA | PDF|XML | |
| 2025 | Q4 | 5393 | CHARLES SCHWAB & CO., INC. | NO | NA | PDF|XML | |
| 2025 | Q4 | 47770 | CHELSEA FINANCIAL SERVICES | YES - Disclosure | HILLTOP SECURITIES INC. | PDF|XML | |
| 2025 | Q4 | 128711 | CHICKASAW SECURITIES, LLC | NO | NA | PDF|XML | |
| 2025 | Q4 | 166318 | CHINA RENAISSANCE SECURITIES (US) INC. | NO | NA | PDF|XML | |
| 2025 | Q4 | 39462 | CHURCHILL FINANCIAL, LLC | NO | NA | PDF|XML | |
| 2025 | Q4 | 143221 | CICC US SECURITIES, INC. | NO | NA | PDF|XML | |
| 2025 | Q4 | 281102 | CITADEL SECURITIES INSTITUTIONAL LLC | NO | NA | PDF|XML | |
| 2025 | Q4 | 22208 | CITIZENS JMP SECURITIES, LLC | NO | NA | PDF|XML | |
| 2025 | Q4 | 39550 | CITIZENS SECURITIES, INC. | NO | NA | PDF|XML | |
| 2025 | Q4 | 103705 | CITY NATIONAL SECURITIES, INC. | NO | NA | XML |