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 | 12963 | MONEY CONCEPTS CAPITAL CORP - Disclosure | PERSHING LLC | 07/26/2024 | ||
2024 | Q2 | 298769 | FUTU CLEARING INC | Self | 07/26/2024 | XML | |
2024 | Q2 | 20804 | UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
2024 | Q2 | 37059 | VICTORY CAPITAL SERVICES, INC. - Disclosure | PERSHING LLC | 07/26/2024 | ||
2024 | Q2 | 17437 | AMERICAN CENTURY INVESTMENT SERVICES INC. - Disclosure | PERSHING LLC | 07/26/2024 | ||
2024 | Q2 | 23131 | OSAIC WEALTH, INC. | Self | 07/26/2024 | ||
2024 | Q2 | 147529 | MCLAUGHLIN RYDER INVESTMENTS, INC. - Disclosure | PERSHING LLC | 07/26/2024 | ||
2024 | Q2 | 1588 | DAVENPORT & COMPANY LLC - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
2024 | Q2 | 153407 | WEALTHFRONT BROKERAGE LLC | Self | 07/26/2024 | XML | |
2024 | Q2 | 29249 | INSIGNEO SECURITIES, LLC - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
2024 | Q2 | 43036 | STATE FARM VP MANAGEMENT CORP. - Disclosure | PERSHING LLC | 07/26/2024 | ||
2024 | Q2 | 2525 | DEUTSCHE BANK SECURITIES INC. | Self | 07/26/2024 | ||
2024 | Q2 | 47487 | LANDAAS & COMPANY - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
2024 | Q2 | 304587 | PUENTE SERVICIOS FINANCIEROS LLC - Disclosure | PERSHING LLC | 07/26/2024 | ||
2024 | Q2 | 3063 | E. E. POWELL & COMPANY INC. - Disclosure | PERSHING LLC | 07/26/2024 | XML |