NMS Equity and Option Order Routing Reports (SEC Rule 606(a) Reports)
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 option contracts in NMS securities. 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.
Year | Quarter | Firm CRD | Firm | Order Routing / Clearing Firm | Date Submitted Sort ascending | Report Type | Context |
---|---|---|---|---|---|---|---|
2024 | Q2 | 44158 | CAPITAL ONE SECURITIES, INC. | Self | 07/24/2024 | XML | |
2024 | Q2 | 39914 | WESTPARK CAPITAL, INC. | Self | 07/24/2024 | ||
2024 | Q2 | 20996 | THINKEQUITY LLC | Self | 07/24/2024 | XML | |
2024 | Q2 | 17499 | TRUIST INVESTMENT SERVICES, INC. | Self | 07/24/2024 | ||
2024 | Q2 | 1576 | DAIWA CAPITAL MARKETS AMERICA INC. | Self | 07/24/2024 | ||
2024 | Q2 | 39543 | CAMBRIDGE INVESTMENT RESEARCH, INC. | Self | 07/24/2024 | NFSC | |
2024 | Q2 | 39543 | CAMBRIDGE INVESTMENT RESEARCH, INC. | Self | 07/24/2024 | XML | PERS |
2024 | Q2 | 7477 | COLLIERS SECURITIES LLC | Self | 07/24/2024 | INFO | |
2024 | Q2 | 281102 | CITADEL SECURITIES INSTITUTIONAL LLC | Self | 07/24/2024 | XML | |
2024 | Q2 | 18483 | TRADEUP SECURITIES, INC. | Self | 07/23/2024 | MRSC1 | |
2024 | Q2 | 25766 | HENNION & WALSH, INC. - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 07/23/2024 | XML | |
2024 | Q2 | 3875 | BRIGHTON SECURITIES CORP. - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 07/23/2024 | ||
2024 | Q2 | 125334 | CASTLEOAK SECURITIES, LP | Self | 07/23/2024 | XML | |
2024 | Q2 | 139665 | BHK SECURITIES, LLC - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 07/23/2024 | XML | |
2024 | Q2 | 104158 | KOREA INVESTMENT & SECURITIES AMERICA, INC. | Self | 07/23/2024 | XML |