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.
|
|---|---|---|---|---|---|---|---|
| 2026 | Q1 | 8361 | A.G.P. / ALLIANCE GLOBAL PARTNERS | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2026 | Q1 | 41768 | ACE DIVERSIFIED CAPITAL, INC. | YES - Disclosure | WEDBUSH SECURITIES INC. | PDF|XML | |
| 2026 | Q1 | 15007 | AEGIS CAPITAL CORP. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2026 | Q1 | 26193 | ALAMO CAPITAL | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2026 | Q1 | 40077 | ALEXANDER CAPITAL, L.P. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2026 | Q1 | 1042 | ALLEN & COMPANY LLC | NO | NA | PDF|XML | |
| 2026 | Q1 | 142619 | ALLEN, MOONEY & BARNES BROKERAGE SERVICES, LLC | YES - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | PDF|XML | |
| 2026 | Q1 | 7726 | ALLIANT SECURITIES, INC. TURNER, NORD, KIENBAUM | YES - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | PDF|XML | |
| 2026 | Q1 | 41139 | ALTERNA SECURITIES, INC. | NO | NA | PDF|XML | |
| 2026 | Q1 | 299274 | ALTRUIST FINANCIAL LLC | NO | NA | PDF|XML | |
| 2026 | Q1 | 119249 | AMERICAN CAPITAL PARTNERS, LLC | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2026 | Q1 | 17437 | AMERICAN CENTURY INVESTMENT SERVICES INC. | NO | NA | PDF|XML | |
| 2026 | Q1 | 29678 | AMERICAN HERITAGE SECURITIES, INC. | YES - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | PDF|XML | |
| 2026 | Q1 | 135288 | AMERICAN INDEPENDENT SECURITIES GROUP, LLC | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2026 | Q1 | 3001 | AMERICAN TRUST INVESTMENT SERVICES, INC. | YES | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2026 | Q1 | 14869 | AMERITAS INVESTMENT COMPANY, LLC | NO | NA | PDF|XML | |
| 2026 | Q1 | 8365 | AMUNI FINANCIAL, INC. | YES - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | PDF|XML | |
| 2026 | Q1 | 284714 | ANOS CAPITAL, LLC | NO | NA | PDF|XML | |
| 2026 | Q1 | 44656 | ARCADIA SECURITIES, LLC | NO | NA | ||
| 2026 | Q1 | 282710 | ARKADIOS CAPITAL | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2026 | Q1 | 317194 | ATOMIC VAULTS SECURITIES, LLC | NO | NA | PDF|XML | |
| 2026 | Q1 | 142374 | AVENTURA SECURITIES, LLC | NO | NA | XML | |
| 2026 | Q1 | 2543 | B. RILEY WEALTH MANAGEMENT | YES - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | PDF|XML | |
| 2026 | Q1 | 41533 | B.B. GRAHAM & COMPANY, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2026 | Q1 | 19714 | BARCLAYS CAPITAL INC. | NO | NA | PDF|XML | LEHM |
| 2026 | Q1 | 32754 | BEACONS STRATEGIC CAPITAL, INC. | NO | NA | PDF|XML | |
| 2026 | Q1 | 24771 | BEECH HILL SECURITIES, INC. | NO | NA | PDF|XML | |
| 2026 | Q1 | 317807 | BERNSTEIN INSTITUTIONAL SERVICES LLC | NO | NA | PDF|XML | |
| 2026 | Q1 | 139665 | BHK SECURITIES, LLC | YES - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | PDF|XML | |
| 2026 | Q1 | 16686 | BMO CAPITAL MARKETS CORP. | NO | NA | PDF|XML | |
| 2026 | Q1 | 44057 | BMO NESBITT BURNS SECURITIES LTD. | NO | NA | PDF|XML | |
| 2026 | Q1 | 3875 | BRIGHTON SECURITIES CORP. | YES - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | PDF|XML | |
| 2026 | Q1 | 5049 | BROWN ASSOCIATES, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2026 | Q1 | 1331 | BROWN, LISLE/CUMMINGS, INC. | NO | NA | PDF|XML | |
| 2026 | Q1 | 23407 | BUCKMAN, BUCKMAN & REID, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2026 | Q1 | 159712 | CABOT LODGE SECURITIES LLC | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2026 | Q1 | 10081 | CABRERA CAPITAL MARKETS, LLC | NO | NA | PDF|XML | |
| 2026 | Q1 | 7551 | CAPIS | NO | NA | PDF|XML | |
| 2026 | Q1 | 44158 | CAPITAL ONE SECURITIES, INC. | NO | NA | PDF|XML | |
| 2026 | Q1 | 148733 | CAPITAL SYNERGY PARTNERS | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2026 | Q1 | 16365 | CARTER, TERRY & COMPANY, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2026 | Q1 | 128089 | CARY STREET PARTNERS | YES - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | PDF|XML | |
| 2026 | Q1 | 35844 | CASCADE INVESTMENT GROUP, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2026 | Q1 | 7763 | CENTENNIAL SECURITIES COMPANY, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2026 | Q1 | 10299 | CETERA ADVISORS LLC | NO | NA | PDF|XML | |
| 2026 | Q1 | 10358 | CETERA FINANCIAL SPECIALISTS LLC | NO | NA | PDF|XML | |
| 2026 | Q1 | 15340 | CETERA INVESTMENT SERVICES LLC | NO | NA | PDF|XML | |
| 2026 | Q1 | 13572 | CETERA WEALTH SERVICES, LLC | NO | NA | PDF|XML | |
| 2026 | Q1 | 25427 | CFD INVESTMENTS, INC. | NO | NA | PDF|XML | |
| 2026 | Q1 | 155984 | CGIS SECURITIES LLC | NO | NA | PDF|XML | |
| 2026 | Q1 | 28116 | CHAPIN, DAVIS | YES - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | PDF|XML |