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 | 7560 | PERSHING LLC | Self | 07/26/2024 | XML | |
2024 | Q2 | 10409 | MML INVESTORS SERVICES, LLC | Self | 07/26/2024 | XML | |
2024 | Q2 | 44848 | KOVACK SECURITIES INC. - Disclosure | PERSHING LLC | 07/26/2024 | ||
2024 | Q2 | 32460 | FIRST HEARTLAND CAPITAL, INC. - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
2024 | Q2 | 231 | BNY MELLON SECURITIES CORPORATION - Disclosure | PERSHING LLC | 07/26/2024 | ||
2024 | Q2 | 139049 | ACP SECURITIES, LLC - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
2024 | Q2 | 29249 | INSIGNEO SECURITIES, LLC - Disclosure | PERSHING LLC | 07/26/2024 | ||
2024 | Q2 | 12963 | MONEY CONCEPTS CAPITAL CORP - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
2024 | Q2 | 308213 | DIGITAL BROKERAGE SERVICES LLC | Self | 07/26/2024 | ||
2024 | Q2 | 104474 | SANFORD C. BERNSTEIN & CO., LLC - Disclosure | PERSHING LLC | 07/26/2024 | ||
2024 | Q2 | 37059 | VICTORY CAPITAL SERVICES, INC. - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
2024 | Q2 | 2881 | NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC - Disclosure | PERSHING LLC | 07/26/2024 | ||
2024 | Q2 | 30032 | INVEX, LLC. | Self | 07/26/2024 | XML | |
2024 | Q2 | 105387 | VALLEY FINANCIAL MANAGEMENT, INC. - Disclosure | PERSHING LLC | 07/26/2024 | ||
2024 | Q2 | 30833 | CENTAURUS FINANCIAL, INC. - Disclosure | PERSHING LLC | 07/26/2024 |