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 | XML | |
| 2024 | Q2 | 6888 | JONESTRADING | Self | 07/23/2024 | ||
| 2024 | Q2 | 24549 | FIRST DALLAS SECURITIES INCORPORATED - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 07/23/2024 | XML | |
| 2024 | Q2 | 18483 | TRADEUP SECURITIES, INC. | Self | 07/23/2024 | XML | MRSC1 |
| 2024 | Q2 | 3254 | SAGE, RUTTY & CO., INC. - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 07/23/2024 | ||
| 2024 | Q2 | 44181 | NATIONS FINANCIAL GROUP, INC. - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 07/23/2024 | XML | |
| 2024 | Q2 | 11025 | WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 07/23/2024 | ||
| 2024 | Q2 | 125334 | CASTLEOAK SECURITIES, LP | Self | 07/23/2024 | ||
| 2024 | Q2 | 104387 | PGM GLOBAL INC. | Self | 07/23/2024 | XML | |
| 2024 | Q2 | 24549 | FIRST DALLAS SECURITIES INCORPORATED - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 07/23/2024 | ||
| 2024 | Q2 | 17465 | FROST BROKERAGE SERVICES, INC. | Self | 07/23/2024 | ||
| 2024 | Q2 | 44181 | NATIONS FINANCIAL GROUP, INC. - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | 07/23/2024 | ||
| 2024 | Q2 | 292589 | AVENUE SECURITIES LLC - Disclosure | VELOCITY CLEARING, LLC | 07/23/2024 | ||
| 2024 | Q2 | 6564 | SF INVESTMENTS, INC. | Self | 07/23/2024 | ||
| 2024 | Q2 | 877 | WEDBUSH SECURITIES INC. | Self | 07/23/2024 | XML |