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 | 24771 | BEECH HILL SECURITIES, INC. - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
2024 | Q2 | 41139 | ALTERNA SECURITIES, INC. - Disclosure | PERSHING LLC | 07/26/2024 | ||
2024 | Q2 | 18456 | STONEX SECURITIES INC. | PERSHING LLC | 07/26/2024 | ||
2024 | Q2 | 153407 | WEALTHFRONT BROKERAGE LLC | Self | 07/26/2024 | ||
2024 | Q2 | 166756 | EPIC CAPITAL SECURITIES - Disclosure | PERSHING LLC | 07/26/2024 | ||
2024 | Q2 | 1834 | GIRARD INVESTMENT SERVICES, LLC - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
2024 | Q2 | 104123 | WHITE MOUNTAIN CAPITAL, LLC | Self | 07/26/2024 | ||
2024 | Q2 | 44848 | KOVACK SECURITIES INC. - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
2024 | Q2 | 29753 | ORIENTAL FINANCIAL SERVICES LLC - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
2024 | Q2 | 43285 | M HOLDINGS SECURITIES, INC. - Disclosure | PERSHING LLC | 07/26/2024 | ||
2024 | Q2 | 30882 | CLARKSONS SECURITIES, INC | Self | 07/26/2024 | ||
2024 | Q2 | 104474 | SANFORD C. BERNSTEIN & CO., LLC - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
2024 | Q2 | 316232 | BANCOLOMBIA CAPITAL LLC - Disclosure | PERSHING LLC | 07/26/2024 | ||
2024 | Q2 | 7560 | PERSHING LLC | Self | 07/26/2024 | XML | |
2024 | Q2 | 28602 | SMBC NIKKO SECURITIES AMERICA, INC. | Self | 07/25/2024 | XML |