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 | 5685 | PRUCO SECURITIES, LLC. | Self | 08/01/2024 | ||
| 2024 | Q2 | 2950 | DORN & CO., INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 | ||
| 2024 | Q2 | 2525 | DEUTSCHE BANK SECURITIES INC. | Self | 08/01/2024 | XML | |
| 2024 | Q2 | 21000 | OAKWOOD CAPITAL SECURITIES, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 | XML | |
| 2024 | Q2 | 316308 | OPTIVER EXECUTION SERVICES LLC | Self | 08/01/2024 | XML | |
| 2024 | Q2 | 8361 | A.G.P. / ALLIANCE GLOBAL PARTNERS - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 | ||
| 2024 | Q2 | 128351 | SG AMERICAS SECURITIES, LLC | Self | 08/01/2024 | ||
| 2024 | Q2 | 27913 | L.M. KOHN & COMPANY - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 | XML | |
| 2024 | Q2 | 31194 | RBC CAPITAL MARKETS, LLC | Self | 08/01/2024 | XML | |
| 2024 | Q2 | 17870 | NBC SECURITIES, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 | ||
| 2024 | Q2 | 135288 | AMERICAN INDEPENDENT SECURITIES GROUP, LLC - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 | XML | |
| 2024 | Q2 | 21000 | OAKWOOD CAPITAL SECURITIES, INC. - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 | ||
| 2024 | Q2 | 147853 | WALLACHBETH CAPITAL LLC | Self | 08/01/2024 | XML | |
| 2024 | Q2 | 30812 | RIEDL FIRST SECURITIES COMPANY OF KANSAS - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 | ||
| 2024 | Q2 | 27913 | L.M. KOHN & COMPANY - Disclosure | RBC CAPITAL MARKETS, LLC | 08/01/2024 |