For the Public
FINRA Data provides non-commercial use of data, specifically the ability to save data views and create and manage a Bond Watchlist.
For Industry Professionals
Registered representatives can fulfill Continuing Education requirements, view their industry CRD record and perform other compliance tasks.
For Member Firms
Firm compliance professionals can access filings and requests, run reports and submit support tickets.
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 NMS securities that are options contracts. 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. Learn more about equities and options.
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Calendar year for which a firm submits an SEC Rule 606(a) report.
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Calendar quarter for which a firm submits an SEC Rule 606(a) report.
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CRD of the firm submitting the SEC Rule 606(a) report or adopting a clearing firm's report.
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Name of the firm submitting the SEC Rule 606(a) report or adopting a clearing firm's report.
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Adopting Clearing Firm's Report by Reference
Yes/No field indicating if the member identified in the “Firm” field is adopting a clearing firm's report by reference.
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Provides the name of the clearing firm whose report the member identified in the “Firm” field is adopting by reference.
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606(a) Report
Link to download the SEC Rule 606(a) report in a PDF or XML format.
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A free form field used by firms to provide additional information in connection with the submission of SEC Rule 606(a) reports.
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| 2024 | Q3 | 7551 | CAPITAL INSTITUTIONAL SERVICES, INC. | No | NA | XML | |
| 2024 | Q3 | 40657 | CAPITAL INVESTMENT BROKERAGE, INC. | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2024 | Q3 | 14752 | CAPITAL INVESTMENT GROUP, INC. | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2024 | Q3 | 10579 | CAPITAL MANAGEMENT SECURITIES, INC. | No | HILLTOP SECURITIES INC. | PDF|XML | |
| 2024 | Q3 | 44158 | CAPITAL ONE SECURITIES, INC. | No | NA | PDF|XML | |
| 2024 | Q3 | 44158 | CAPITAL ONE SECURITIES, INC. | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2024 | Q3 | 148733 | CAPITAL SYNERGY PARTNERS | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | RBCCLEARINGCUSTODY |
| 2024 | Q3 | 148733 | CAPITAL SYNERGY PARTNERS | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | RBCWEALTHMANAGEMENT |
| 2024 | Q3 | 14169 | CAPITOL SECURITIES MANAGEMENT, INC. | YES - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | PDF|XML | EQUITY |
| 2024 | Q3 | 14169 | CAPITOL SECURITIES MANAGEMENT, INC. | YES - Disclosure | RAYMOND JAMES & ASSOCIATES, INC. | PDF|XML | OPTIONS |
| 2024 | Q3 | 16187 | CARNES CAPITAL CORPORATION | YES - Disclosure | VIRTU AMERICAS LLC | PDF|XML | |
| 2024 | Q3 | 16187 | CARNES CAPITAL CORPORATION | YES - Disclosure | NATIONAL FINANCIAL SERVICES LLC | PDF|XML | |
| 2024 | Q3 | 16365 | CARTER, TERRY & COMPANY, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | RBCCLEARINGCUSTODY |
| 2024 | Q3 | 16365 | CARTER, TERRY & COMPANY, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | RBCWEALTHMANAGEMENT |
| 2024 | Q3 | 128089 | CARY STREET PARTNERS | YES - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | PDF|XML | |
| 2024 | Q3 | 35844 | CASCADE INVESTMENT GROUP, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | RBCWEALTHMANAGEMENT |
| 2024 | Q3 | 35844 | CASCADE INVESTMENT GROUP, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | RBCCLEARINGCUSTODY |
| 2024 | Q3 | 125334 | CASTLEOAK SECURITIES, LP | No | NA | PDF|XML | |
| 2024 | Q3 | 36538 | CELADON FINANCIAL GROUP LLC | No | NA | ||
| 2024 | Q3 | 30833 | CENTAURUS FINANCIAL, INC. | YES - Disclosure | CHARLES SCHWAB & CO., INC. | PDF|XML | |
| 2024 | Q3 | 30833 | CENTAURUS FINANCIAL, INC. | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2024 | Q3 | 155291 | CENTRAL STATES CAPITAL MARKETS, LLC | YES - Disclosure | HILLTOP SECURITIES INC. | PDF|XML | |
| 2024 | Q3 | 37869 | CEROS FINANCIAL SERVICES, INC. | YES - Disclosure | NATIONAL FINANCIAL SERVICES LLC | PDF|XML | |
| 2024 | Q3 | 37869 | CEROS FINANCIAL SERVICES, INC. | YES - Disclosure | AXOS CLEARING LLC | PDF|XML | |
| 2024 | Q3 | 37869 | CEROS FINANCIAL SERVICES, INC. | No | NA | PDF|XML | |
| 2024 | Q3 | 13572 | CETERA ADVISOR NETWORKS LLC | No | NA | PDF|XML | |
| 2024 | Q3 | 10299 | CETERA ADVISORS LLC | No | NA | PDF|XML | |
| 2024 | Q3 | 10358 | CETERA FINANCIAL SPECIALISTS LLC | No | NA | PDF|XML | |
| 2024 | Q3 | 15340 | CETERA INVESTMENT SERVICES LLC | No | NA | PDF|XML | |
| 2024 | Q3 | 25427 | CFD INVESTMENTS, INC. | No | NA | PDF|XML | |
| 2024 | Q3 | 28116 | CHAPIN, DAVIS | YES - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | PDF|XML | |
| 2024 | Q3 | 5393 | CHARLES SCHWAB & CO., INC. | No | NA | PDF|XML | |
| 2024 | Q3 | 47770 | CHELSEA FINANCIAL SERVICES | YES - Disclosure | HILLTOP SECURITIES INC. | PDF|XML | |
| 2024 | Q3 | 128711 | CHICKASAW SECURITIES, LLC | No | NA | PDF|XML | |
| 2024 | Q3 | 166318 | CHINA RENAISSANCE SECURITIES (US) INC. | No | NA | PDF|XML | |
| 2024 | Q3 | 104021 | CHOICETRADE | No | NA | PDF|XML | |
| 2024 | Q3 | 39462 | CHURCHILL FINANCIAL, LLC | No | NA | PDF|XML | |
| 2024 | Q3 | 39462 | CHURCHILL FINANCIAL, LLC | YES - Disclosure | NATIONAL FINANCIAL SERVICES LLC | PDF|XML | |
| 2024 | Q3 | 630 | CIBC WORLD MARKETS CORP. | No | NA | ||
| 2024 | Q3 | 143221 | CICC US SECURITIES, INC. | YES - Disclosure | BTIG, LLC | XML | |
| 2024 | Q3 | 143221 | CICC US SECURITIES, INC. | No | NA | PDF|XML | |
| 2024 | Q3 | 143221 | CICC US SECURITIES, INC. | YES - Disclosure | CLEARPOOL EXECUTION SERVICES, LLC | PDF|XML | |
| 2024 | Q3 | 281102 | CITADEL SECURITIES INSTITUTIONAL LLC | No | NA | PDF|XML | |
| 2024 | Q3 | 7059 | CITIGROUP GLOBAL MARKETS INC. | No | NA | PDF|XML | SBSH |
| 2024 | Q3 | 7059 | CITIGROUP GLOBAL MARKETS INC. | No | NA | PDF|XML | CGWM |
| 2024 | Q3 | 22208 | CITIZENS JMP SECURITIES, LLC | No | NA | PDF|XML | |
| 2024 | Q3 | 39550 | CITIZENS SECURITIES, INC. | No | NA | PDF|XML | |
| 2024 | Q3 | 103705 | CITY NATIONAL SECURITIES, INC. | YES - Disclosure | NATIONAL FINANCIAL SERVICES LLC | PDF|XML | |
| 2024 | Q3 | 103705 | CITY NATIONAL SECURITIES, INC. | No | NA | PDF|XML | |
| 2024 | Q3 | 30882 | CLARKSONS SECURITIES, INC | No | NA | PDF|XML | |
| 2024 | Q3 | 288933 | CLEAR STREET LLC | No | NA | PDF|XML | |
| 2024 | Q3 | 168490 | CLEARPOOL EXECUTION SERVICES, LLC | No | NA | PDF|XML |