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 | 13686 | AVANTAX INVESTMENT SERVICES, INC. | Self | 07/26/2024 | ||
| 2024 | Q2 | 282756 | FIRST SOUTHERN, LLC - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
| 2024 | Q2 | 43036 | STATE FARM VP MANAGEMENT CORP. - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
| 2024 | Q2 | 8032 | COMMONWEALTH FINANCIAL NETWORK - Disclosure | PERSHING LLC | 07/26/2024 | ||
| 2024 | Q2 | 17454 | BNY MELLON CAPITAL MARKETS, LLC | Self | 07/26/2024 | ||
| 2024 | Q2 | 139049 | ACP SECURITIES, LLC - Disclosure | PERSHING LLC | 07/26/2024 | ||
| 2024 | Q2 | 44158 | CAPITAL ONE SECURITIES, INC. - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
| 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 |