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 | 16164 | TRANSAMERICA FINANCIAL ADVISORS, INC | Self | 07/22/2024 | XML | NFSC |
| 2024 | Q2 | 4297 | NOMURA SECURITIES INTERNATIONAL, INC. | Self | 07/22/2024 | XML | |
| 2024 | Q2 | 150696 | SANTANDER US CAPITAL MARKETS LLC | Self | 07/22/2024 | ||
| 2024 | Q2 | 124504 | GLEN EAGLE WEALTH, LLC | Self | 07/22/2024 | XML | SPGLOBAL |
| 2024 | Q2 | 2764 | MESIROW FINANCIAL, INC. | Self | 07/22/2024 | PERSHING | |
| 2024 | Q2 | 11643 | HORACE MANN INVESTORS, INC. | Self | 07/22/2024 | ||
| 2024 | Q2 | 231 | BNY MELLON SECURITIES CORPORATION | Self | 07/22/2024 | XML | |
| 2024 | Q2 | 129052 | PNC INVESTMENTS | Self | 07/22/2024 | XML | |
| 2024 | Q2 | 16164 | TRANSAMERICA FINANCIAL ADVISORS, INC | Self | 07/22/2024 | XML | PERS |
| 2024 | Q2 | 16164 | TRANSAMERICA FINANCIAL ADVISORS, INC | Self | 07/22/2024 | NFSC | |
| 2024 | Q2 | 124504 | GLEN EAGLE WEALTH, LLC | Self | 07/22/2024 | PERSHING | |
| 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 | 10489 | CALDWELL SUTTER CAPITAL, INC. | Self | 07/19/2024 | XML | |
| 2024 | Q2 | 7452 | VANGUARD MARKETING CORPORATION | Self | 07/19/2024 |