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.
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Calendar year for which a firm submits an SEC Rule 606(a) report.
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Calendar quarter for which a firm submits an SEC Rule 606(a) report.
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CRD of the firm submitting the SEC Rule 606(a) report or adopting a clearing firm's report.
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Name of the firm submitting the SEC Rule 606(a) report or adopting a clearing firm's report.
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Adopting Clearing Firm's Report by Reference
Yes/No field indicating if the member identified in the “Firm” field is adopting a clearing firm's report by reference.
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Provides the name of the clearing firm whose report the member identified in the “Firm” field is adopting by reference.
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606(a) Report
Link to download the SEC Rule 606(a) report in a PDF or XML format.
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A free form field used by firms to provide additional information in connection with the submission of SEC Rule 606(a) reports.
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| 2024 | Q4 | 15407 | ROTH CAPITAL PARTNERS, LLC | No | NA | XML | |
| 2024 | Q4 | 728 | ROTHSCHILD INVESTMENT LLC | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2024 | Q4 | 134284 | RQD* CLEARING, LLC | No | NA | PDF|XML | |
| 2024 | Q4 | 40744 | S.L. REED & COMPANY | YES - Disclosure | NATIONAL FINANCIAL SERVICES LLC | PDF|XML | |
| 2024 | Q4 | 148137 | SABADELL SECURITIES USA, INC. | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2024 | Q4 | 47873 | SAFRA SECURITIES LLC | No | NA | PDF|XML | |
| 2024 | Q4 | 3254 | SAGE, RUTTY & CO., INC. | YES - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | PDF|XML | |
| 2024 | Q4 | 205 | SANCTUARY SECURITIES, INC. | No | NA | PDF|XML | |
| 2024 | Q4 | 104474 | SANFORD C. BERNSTEIN & CO., LLC | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2024 | Q4 | 41791 | SANTANDER SECURITIES LLC | No | NA | PDF|XML | |
| 2024 | Q4 | 150696 | SANTANDER US CAPITAL MARKETS LLC | No | NA | PDF|XML | |
| 2024 | Q4 | 115547 | SAXONY SECURITIES, INC. | No | NA | PDF|XML | |
| 2024 | Q4 | 47275 | SCF SECURITIES, INC. | YES - Disclosure | NATIONAL FINANCIAL SERVICES LLC | PDF|XML | |
| 2024 | Q4 | 2739 | SCOTIA CAPITAL (USA) INC. | No | NA | PDF|XML | |
| 2024 | Q4 | 116270 | SEAPORT GLOBAL SECURITIES LLC | No | NA | PDF|XML | |
| 2024 | Q4 | 8330 | SEAPORT SECURITIES CORP. | No | NA | PDF|XML | |
| 2024 | Q4 | 19899 | SECU BROKERAGE SERVICES | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2024 | Q4 | 47215 | SECURITIES EQUITY GROUP | YES - Disclosure | NATIONAL FINANCIAL SERVICES LLC | PDF|XML | |
| 2024 | Q4 | 759 | SECURITIES MANAGEMENT & RESEARCH, INC. | No | NA | PDF|XML | |
| 2024 | Q4 | 10690 | SEI INVESTMENTS DISTRIBUTION CO. | YES - Disclosure | CITIGROUP GLOBAL MARKETS INC. | PDF|XML | SBSH |
| 2024 | Q4 | 10690 | SEI INVESTMENTS DISTRIBUTION CO. | YES - Disclosure | INDUSTRIAL AND COMMERCIAL BANK OF CHINA FINANCIAL SERVICES LLC | ||
| 2024 | Q4 | 10690 | SEI INVESTMENTS DISTRIBUTION CO. | YES - Disclosure | BOFA SECURITIES, INC. | PDF|XML | |
| 2024 | Q4 | 10690 | SEI INVESTMENTS DISTRIBUTION CO. | YES - Disclosure | CITIGROUP GLOBAL MARKETS INC. | PDF|XML | CGWM |
| 2024 | Q4 | 10690 | SEI INVESTMENTS DISTRIBUTION CO. | YES - Disclosure | VIRTU AMERICAS LLC | PDF|XML | |
| 2024 | Q4 | 10690 | SEI INVESTMENTS DISTRIBUTION CO. | YES - Disclosure | J.P. MORGAN SECURITIES LLC | PDF|XML | |
| 2024 | Q4 | 13854 | SELKIRK INVESTMENTS, INC. | YES - Disclosure | HILLTOP SECURITIES INC. | PDF|XML | |
| 2024 | Q4 | 110942 | SENTINEL SECURITIES, INC. | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2024 | Q4 | 6564 | SF INVESTMENTS, INC. | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2024 | Q4 | 128351 | SG AMERICAS SECURITIES, LLC | No | NA | PDF|XML | |
| 2024 | Q4 | 125226 | SHAREHOLDERS SERVICE GROUP, LLC | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2024 | Q4 | 7320 | SHEARMAN, RALSTON INC. | No | NA | PDF|XML | |
| 2024 | Q4 | 14303 | SIGMA FINANCIAL CORPORATION | No | NA | PDF|XML | |
| 2024 | Q4 | 15916 | SIGNAL SECURITIES, INC. | YES - Disclosure | HILLTOP SECURITIES INC. | PDF|XML | |
| 2024 | Q4 | 28602 | SMBC NIKKO SECURITIES AMERICA, INC. | No | NA | PDF|XML | |
| 2024 | Q4 | 3441 | SMITH, MOORE & CO. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | RBCCLEARINGCUSTODY |
| 2024 | Q4 | 3441 | SMITH, MOORE & CO. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2024 | Q4 | 3441 | SMITH, MOORE & CO. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | RBCWEALTHMANAGEMENT |
| 2024 | Q4 | 149794 | SNOWDEN ACCOUNT SERVICES LLC | No | NA | PDF|XML | |
| 2024 | Q4 | 151717 | SOFI SECURITIES LLC | No | NA | PDF|XML | |
| 2024 | Q4 | 17912 | SOGOTRADE, INC. | No | NA | PDF|XML | |
| 2024 | Q4 | 127787 | SORRENTO PACIFIC FINANCIAL, LLC | No | NA | ||
| 2024 | Q4 | 43035 | SOUTHEAST INVESTMENTS, N.C., INC. | YES - Disclosure | AXOS CLEARING LLC | PDF|XML | |
| 2024 | Q4 | 167663 | SOVEREIGN GLOBAL ADVISORS LLC | YES - Disclosure | WEDBUSH SECURITIES INC. | PDF|XML | |
| 2024 | Q4 | 146251 | SPARTAN CAPITAL SECURITIES, LLC | YES - Disclosure | AXOS CLEARING LLC | PDF|XML | |
| 2024 | Q4 | 107403 | SPEEDTRADER, INC | No | NA | PDF|XML | |
| 2024 | Q4 | 8300 | SPENCER-WINSTON SECURITIES CORPORATION | YES - Disclosure | WEDBUSH SECURITIES INC. | PDF|XML | |
| 2024 | Q4 | 148743 | SPIDERROCK EXS, LLC | No | NA | PDF|XML | |
| 2024 | Q4 | 144131 | SPIRE SECURITIES, LLC | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2024 | Q4 | 144131 | SPIRE SECURITIES, LLC | YES - Disclosure | NATIONAL FINANCIAL SERVICES LLC | PDF|XML | |
| 2024 | Q4 | 35878 | SPROTT GLOBAL RESOURCE INVESTMENTS LTD | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | RBCWEALTHMANAGEMENT |
| 2024 | Q4 | 35878 | SPROTT GLOBAL RESOURCE INVESTMENTS LTD | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | RBCCLEARINGCUSTODY |
| 2024 | Q4 | 35878 | SPROTT GLOBAL RESOURCE INVESTMENTS LTD | YES - Disclosure | RBC CAPITAL MARKETS, LLC |