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.
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Glossary
| Year | Quarter | Firm CRD | Firm | Order Routing / Clearing Firm | Date Submitted Sort ascending | Report Type | Context |
|---|---|---|---|---|---|---|---|
| 2024 | Q2 | 7726 | ALLIANT SECURITIES, INC. TURNER, NORD, KIENBAUM - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 07/23/2024 | ||
| 2024 | Q2 | 104158 | KOREA INVESTMENT & SECURITIES AMERICA, INC. | Self | 07/23/2024 | ||
| 2024 | Q2 | 290244 | LINDEN THOMAS AND COMPANY SECURITIES, LLC - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 07/23/2024 | XML | |
| 2024 | Q2 | 104387 | PGM GLOBAL INC. | Self | 07/23/2024 | ||
| 2024 | Q2 | 25766 | HENNION & WALSH, INC. - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 07/23/2024 | ||
| 2024 | Q2 | 17465 | FROST BROKERAGE SERVICES, INC. | Self | 07/23/2024 | XML | |
| 2024 | Q2 | 139665 | BHK SECURITIES, LLC - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 07/23/2024 | ||
| 2024 | Q2 | 126588 | VELOCITY CLEARING, LLC | Self | 07/23/2024 | XML | |
| 2024 | Q2 | 877 | WEDBUSH SECURITIES INC. | Self | 07/23/2024 | ||
| 2024 | Q2 | 156175 | KAYAN SECURITIES, INC. - Disclosure | WEDBUSH SECURITIES INC. | 07/23/2024 | XML | |
| 2024 | Q2 | 713 | RICHARDS MERRILL WEALTH MANAGEMENT - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 07/23/2024 | XML | |
| 2024 | Q2 | 25853 | RAYMOND JAMES (USA) LTD. | Self | 07/23/2024 | ||
| 2024 | Q2 | 3875 | BRIGHTON SECURITIES CORP. - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 07/23/2024 | XML | |
| 2024 | Q2 | 481 | KEEFE, BRUYETTE & WOODS, INC. | Self | 07/23/2024 | ||
| 2024 | Q2 | 713 | RICHARDS MERRILL WEALTH MANAGEMENT - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 07/23/2024 |