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.
| Year | Quarter | Firm CRD | Firm | Order Routing / Clearing Firm | Date Submitted Sort ascending | Report Type | Context |
|---|---|---|---|---|---|---|---|
| 2024 | Q2 | 1137 | PRINCIPAL SECURITIES, INC. | Self | 07/11/2024 | ||
| 2024 | Q2 | 10690 | SEI INVESTMENTS DISTRIBUTION CO. - Disclosure | INDUSTRIAL AND COMMERCIAL BANK OF CHINA FINANCIAL SERVICES LLC | 07/11/2024 | ||
| 2024 | Q2 | 132187 | GRIFFINEST ASIA SECURITIES, LLC | Self | 07/11/2024 | XML | |
| 2024 | Q2 | 40258 | NORTHLAND SECURITIES, INC. | Self | 07/11/2024 | XML | |
| 2024 | Q2 | 39455 | NATALLIANCE SECURITIES, LLC | Self | 07/11/2024 | ||
| 2024 | Q2 | 2002 | GILDER GAGNON HOWE & CO. LLC | Self | 07/11/2024 | ||
| 2024 | Q2 | 316232 | BANCOLOMBIA CAPITAL LLC | Self | 07/11/2024 | XML | |
| 2024 | Q2 | 1137 | PRINCIPAL SECURITIES, INC. | Self | 07/11/2024 | XML | |
| 2024 | Q2 | 131487 | INDUSTRIAL AND COMMERCIAL BANK OF CHINA FINANCIAL SERVICES LLC | Self | 07/11/2024 | ||
| 2024 | Q2 | 15708 | CONCOURSE FINANCIAL GROUP SECURITIES, INC. | Self | 07/11/2024 | ||
| 2024 | Q2 | 24795 | JOSEPH GUNNAR & CO. LLC | Self | 07/11/2024 | XML | |
| 2024 | Q2 | 3420 | HERBERT J. SIMS & CO, INC. | Self | 07/11/2024 | ||
| 2024 | Q2 | 2002 | GILDER GAGNON HOWE & CO. LLC | Self | 07/11/2024 | XML | |
| 2024 | Q2 | 316232 | BANCOLOMBIA CAPITAL LLC | Self | 07/11/2024 | ||
| 2024 | Q2 | 132187 | GRIFFINEST ASIA SECURITIES, LLC | Self | 07/11/2024 | ||
| 2024 | Q2 | 40258 | NORTHLAND SECURITIES, INC. | Self | 07/11/2024 | ||
| 2024 | Q2 | 39455 | NATALLIANCE SECURITIES, LLC | Self | 07/11/2024 | XML | |
| 2024 | Q2 | 3420 | HERBERT J. SIMS & CO, INC. | Self | 07/11/2024 | XML | |
| 2024 | Q2 | 32460 | FIRST HEARTLAND CAPITAL, INC. | Self | 07/10/2024 | XML | |
| 2024 | Q2 | 166318 | CHINA RENAISSANCE SECURITIES (US) INC. | Self | 07/10/2024 | ||
| 2024 | Q2 | 8330 | SEAPORT SECURITIES CORP. | Self | 07/09/2024 | ||
| 2024 | Q2 | 26460 | R.W.PRESSPRICH & CO. | Self | 07/09/2024 | XML | |
| 2024 | Q2 | 8330 | SEAPORT SECURITIES CORP. | Self | 07/09/2024 | XML | |
| 2024 | Q2 | 128711 | CHICKASAW SECURITIES, LLC | Self | 07/09/2024 | ||
| 2024 | Q2 | 165533 | CLSA AMERICAS, LLC | Self | 07/09/2024 | XML | |
| 2024 | Q2 | 26460 | R.W.PRESSPRICH & CO. | Self | 07/09/2024 | ||
| 2024 | Q2 | 128711 | CHICKASAW SECURITIES, LLC | Self | 07/09/2024 | XML | |
| 2024 | Q2 | 120894 | GENEOS WEALTH MANAGEMENT, INC. | Self | 07/08/2024 | ||
| 2024 | Q2 | 19685 | MUFG SECURITIES AMERICAS INC. | Self | 07/08/2024 | XML | |
| 2024 | Q2 | 126258 | COMPASS POINT RESEARCH & TRADING, LLC | Self | 07/08/2024 | ||
| 2024 | Q2 | 7976 | GORDON, HASKETT CAPITAL CORPORATION | Self | 07/08/2024 | ||
| 2024 | Q2 | 1042 | ALLEN & COMPANY LLC | Self | 07/08/2024 | XML | |
| 2024 | Q2 | 165533 | CLSA AMERICAS, LLC | Self | 07/08/2024 | ||
| 2024 | Q2 | 19685 | MUFG SECURITIES AMERICAS INC. | Self | 07/08/2024 | ||
| 2024 | Q2 | 1042 | ALLEN & COMPANY LLC | Self | 07/08/2024 | ||
| 2024 | Q2 | 143221 | CICC US SECURITIES, INC. | Self | 07/03/2024 | ||
| 2024 | Q2 | 309574 | MONDEUM CAPITAL | Self | 07/02/2024 | ||
| 2024 | Q2 | 309574 | MONDEUM CAPITAL | Self | 07/02/2024 | XML |