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.
Year | Quarter | Firm CRD | Firm | Order Routing / Clearing Firm | Date Submitted Sort ascending | Report Type | Context |
---|---|---|---|---|---|---|---|
2024 | Q2 | 42057 | ARVEST WEALTH MANAGEMENT - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
2024 | Q2 | 7560 | PERSHING LLC | Self | 07/26/2024 | ||
2024 | Q2 | 2498 | R. F. LAFFERTY & CO., INC. | Self | 07/26/2024 | ||
2024 | Q2 | 138459 | NAVY FEDERAL INVESTMENT SERVICES, LLC - Disclosure | PERSHING LLC | 07/26/2024 | ||
2024 | Q2 | 43285 | M HOLDINGS SECURITIES, INC. - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
2024 | Q2 | 18456 | STONEX SECURITIES INC. | PERSHING LLC | 07/26/2024 | XML | |
2024 | Q2 | 17454 | BNY MELLON CAPITAL MARKETS, LLC | Self | 07/26/2024 | XML | |
2024 | Q2 | 316232 | BANCOLOMBIA CAPITAL LLC - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
2024 | Q2 | 36644 | PRIVATE PORTFOLIO, INC. - Disclosure | PERSHING LLC | 07/26/2024 | ||
2024 | Q2 | 15708 | CONCOURSE FINANCIAL GROUP SECURITIES, INC. - Disclosure | PERSHING LLC | 07/26/2024 | ||
2024 | Q2 | 7616 | COWEN AND COMPANY | Self | 07/26/2024 | ||
2024 | Q2 | 146193 | MIURA CAPITAL, LLC - Disclosure | PERSHING LLC | 07/26/2024 | ||
2024 | Q2 | 231 | BNY MELLON SECURITIES CORPORATION - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
2024 | Q2 | 17530 | BOK FINANCIAL SECURITIES, INC. - Disclosure | PERSHING LLC | 07/26/2024 | ||
2024 | Q2 | 23131 | OSAIC WEALTH, INC. | Self | 07/26/2024 | XML |