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.
Displaying 271 - 285 of 439
Glossary
| Year | Quarter | Firm CRD | Firm | Order Routing / Clearing Firm | Date Submitted Sort ascending | Report Type | Context |
|---|---|---|---|---|---|---|---|
| 2024 | Q2 | 290298 | FORTRESS PRIVATE LEDGER, LLC - Disclosure | INTERACTIVE BROKERS LLC | 07/19/2024 | ||
| 2024 | Q2 | 298809 | HUATAI SECURITIES (USA), INC. | Self | 07/18/2024 | XML | |
| 2024 | Q2 | 20472 | TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC | Self | 07/18/2024 | XML | |
| 2024 | Q2 | 140341 | ELEVATION, LLC | Self | 07/18/2024 | ||
| 2024 | Q2 | 44057 | BMO NESBITT BURNS SECURITIES LTD. | Self | 07/18/2024 | ||
| 2024 | Q2 | 298809 | HUATAI SECURITIES (USA), INC. | Self | 07/18/2024 | ||
| 2024 | Q2 | 20472 | TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC | Self | 07/18/2024 | ||
| 2024 | Q2 | 17868 | U.S. BANCORP INVESTMENTS, INC. | Self | 07/18/2024 | ||
| 2024 | Q2 | 44057 | BMO NESBITT BURNS SECURITIES LTD. | Self | 07/18/2024 | XML | |
| 2024 | Q2 | 120708 | MAXIM GROUP LLC | Self | 07/18/2024 | ||
| 2024 | Q2 | 140341 | ELEVATION, LLC | Self | 07/18/2024 | XML | |
| 2024 | Q2 | 17868 | U.S. BANCORP INVESTMENTS, INC. | Self | 07/18/2024 | XML | |
| 2024 | Q2 | 15340 | CETERA INVESTMENT SERVICES LLC | Self | 07/17/2024 | ||
| 2024 | Q2 | 7870 | TD AMERITRADE, INC. | Self | 07/17/2024 | ||
| 2024 | Q2 | 250 | EDWARD JONES | Self | 07/17/2024 | XML |