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 | 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 | 124504 | GLEN EAGLE WEALTH, LLC | Self | 07/22/2024 | XML | PERSHING |
| 2024 | Q2 | 14455 | U.S. BANCORP ADVISORS, LLC | Self | 07/22/2024 | ||
| 2024 | Q2 | 2764 | MESIROW FINANCIAL, INC. | Self | 07/22/2024 | ||
| 2024 | Q2 | 140564 | REDBURN ATLANTIC | Self | 07/22/2024 | XML | |
| 2024 | Q2 | 301273 | IMC EXECUTION SERVICES | Self | 07/22/2024 | ||
| 2024 | Q2 | 301273 | IMC EXECUTION SERVICES | Self | 07/22/2024 | XML | |
| 2024 | Q2 | 16164 | TRANSAMERICA FINANCIAL ADVISORS, INC | Self | 07/22/2024 | PERS | |
| 2024 | Q2 | 4297 | NOMURA SECURITIES INTERNATIONAL, INC. | Self | 07/22/2024 | ||
| 2024 | Q2 | 150696 | SANTANDER US CAPITAL MARKETS LLC | Self | 07/22/2024 | XML | |
| 2024 | Q2 | 124504 | GLEN EAGLE WEALTH, LLC | Self | 07/22/2024 | SPGLOBAL | |
| 2024 | Q2 | 14455 | U.S. BANCORP ADVISORS, LLC | Self | 07/22/2024 | XML | |
| 2024 | Q2 | 11643 | HORACE MANN INVESTORS, INC. | Self | 07/22/2024 | XML | |
| 2024 | Q2 | 231 | BNY MELLON SECURITIES CORPORATION | Self | 07/22/2024 |