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 | 43098 | LOOP CAPITAL MARKETS LLC | Self | 07/15/2024 | ||
| 2024 | Q2 | 8032 | COMMONWEALTH FINANCIAL NETWORK | Self | 07/15/2024 | XML | |
| 2024 | Q2 | 14023 | SYNOVUS SECURITIES, INC. | Self | 07/15/2024 | ||
| 2024 | Q2 | 5167 | NYLIFE SECURITIES LLC | Self | 07/15/2024 | ||
| 2024 | Q2 | 44848 | KOVACK SECURITIES INC. | Self | 07/15/2024 | XML | NFS |
| 2024 | Q2 | 147529 | MCLAUGHLIN RYDER INVESTMENTS, INC. | Self | 07/13/2024 | ||
| 2024 | Q2 | 35747 | PURSHE KAPLAN STERLING INVESTMENTS | Self | 07/12/2024 | ||
| 2024 | Q2 | 115368 | PARKLAND SECURITIES, LLC | Self | 07/12/2024 | ||
| 2024 | Q2 | 29753 | ORIENTAL FINANCIAL SERVICES LLC | Self | 07/12/2024 | XML | |
| 2024 | Q2 | 12963 | MONEY CONCEPTS CAPITAL CORP | Self | 07/12/2024 | ||
| 2024 | Q2 | 18387 | THRIVENT INVESTMENT MANAGEMENT INC. | Self | 07/12/2024 | ||
| 2024 | Q2 | 8096 | POPULAR SECURITIES, LLC | Self | 07/12/2024 | XML | |
| 2024 | Q2 | 70 | BCG SECURITIES, INC. | Self | 07/12/2024 | ||
| 2024 | Q2 | 103727 | GAGNON SECURITIES, LLC | Self | 07/12/2024 | SPGLOBAL | |
| 2024 | Q2 | 39944 | BAY CREST PARTNERS, LLC | Self | 07/12/2024 |