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 | Q3 | 172393 | AXOS INVEST LLC | No | NA | ||
| 2024 | Q3 | 2543 | B. RILEY WEALTH MANAGEMENT | YES - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | PDF|XML | |
| 2024 | Q3 | 2543 | B. RILEY WEALTH MANAGEMENT | No | NA | PDF|XML | |
| 2024 | Q3 | 2543 | B. RILEY WEALTH MANAGEMENT | YES - Disclosure | AXOS CLEARING LLC | PDF|XML | |
| 2024 | Q3 | 41533 | B.B. GRAHAM & COMPANY, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | RBCWEALTHMANAGEMENT |
| 2024 | Q3 | 41533 | B.B. GRAHAM & COMPANY, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | RBCCLEARINGCUSTODY |
| 2024 | Q3 | 132701 | BANCO DO BRASIL SECURITIES LLC | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2024 | Q3 | 316232 | BANCOLOMBIA CAPITAL LLC | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2024 | Q3 | 316232 | BANCOLOMBIA CAPITAL LLC | No | NA | PDF|XML | |
| 2024 | Q3 | 173962 | BANKERS LIFE SECURITIES, INC. | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2024 | Q3 | 29280 | BANKOH INVESTMENT SERVICES, INC. | No | NA | PDF|XML | |
| 2024 | Q3 | 19714 | BARCLAYS CAPITAL INC. | No | NA | PDF|XML | LEHM |
| 2024 | Q3 | 1175 | BARRETT & COMPANY | YES - Disclosure | NATIONAL FINANCIAL SERVICES LLC | PDF|XML | |
| 2024 | Q3 | 39944 | BAY CREST PARTNERS, LLC | No | NA | PDF|XML | |
| 2024 | Q3 | 70 | BCG SECURITIES, INC. | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2024 | Q3 | 70 | BCG SECURITIES, INC. | No | NA | PDF|XML | |
| 2024 | Q3 | 168047 | BCI SECURITIES, INC. | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2024 | Q3 | 24771 | BEECH HILL SECURITIES, INC. | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2024 | Q3 | 24771 | BEECH HILL SECURITIES, INC. | No | NA | XML | |
| 2024 | Q3 | 29278 | BELLE HAVEN INVESTMENTS, L.P. | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2024 | Q3 | 159940 | BENCHMARK SECURITIES LLC | YES - Disclosure | HILLTOP SECURITIES INC. | PDF|XML | |
| 2024 | Q3 | 146936 | BENJAMIN F. EDWARDS & COMPANY, INC. | No | NA | PDF|XML | |
| 2024 | Q3 | 146936 | BENJAMIN F. EDWARDS & COMPANY, INC. | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2024 | Q3 | 156757 | BERENBERG CAPITAL MARKETS LLC | No | NA | PDF|XML | |
| 2024 | Q3 | 317807 | BERNSTEIN INSTITUTIONAL SERVICES LLC | No | NA | PDF|XML | |
| 2024 | Q3 | 13609 | BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC. | No | NA | PDF|XML | |
| 2024 | Q3 | 47788 | BETTERMENT SECURITIES | YES - Disclosure | APEX CLEARING CORPORATION | PDF|XML | |
| 2024 | Q3 | 14171 | BETTINGER & LEECH FINANCIAL CORP. | No | NA | XML | |
| 2024 | Q3 | 19801 | BGC FINANCIAL, L.P. | No | NA | PDF|XML | |
| 2024 | Q3 | 139665 | BHK SECURITIES, LLC | YES - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | PDF|XML | |
| 2024 | Q3 | 16686 | BMO CAPITAL MARKETS CORP. | No | NA | PDF|XML | |
| 2024 | Q3 | 44057 | BMO NESBITT BURNS SECURITIES LTD. | No | NA | PDF|XML | |
| 2024 | Q3 | 15794 | BNP PARIBAS SECURITIES CORP. | No | NA | PDF|XML | |
| 2024 | Q3 | 17454 | BNY MELLON CAPITAL MARKETS, LLC | No | NA | PDF|XML | |
| 2024 | Q3 | 231 | BNY MELLON SECURITIES CORPORATION | No | NA | PDF|XML | |
| 2024 | Q3 | 283942 | BOFA SECURITIES, INC. | No | NA | PDF|XML | |
| 2024 | Q3 | 17530 | BOK FINANCIAL SECURITIES, INC. | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2024 | Q3 | 17530 | BOK FINANCIAL SECURITIES, INC. | No | NA | PDF|XML | |
| 2024 | Q3 | 15650 | BOLTON GLOBAL CAPITAL | No | NA | PDF|XML | |
| 2024 | Q3 | 158599 | BOREAL CAPITAL SECURITIES LLC | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2024 | Q3 | 3875 | BRIGHTON SECURITIES CORP. | YES - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | PDF|XML | |
| 2024 | Q3 | 38123 | BRINKER CAPITAL SECURITIES, LLC | YES - Disclosure | NATIONAL FINANCIAL SERVICES LLC | PDF|XML | |
| 2024 | Q3 | 104026 | BROAD STREET CAPITAL MARKETS, LLC | YES - Disclosure | AXOS CLEARING LLC | PDF|XML | |
| 2024 | Q3 | 114212 | BROADRIDGE BUSINESS PROCESS OUTSOURCING, LLC | YES - Disclosure | APEX CLEARING CORPORATION | PDF|XML | |
| 2024 | Q3 | 139627 | BROKERS INTERNATIONAL FINANCIAL SERVICES, LLC. | No | NA | ||
| 2024 | Q3 | 5049 | BROWN ASSOCIATES, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | RBCWEALTHMANAGEMENT |
| 2024 | Q3 | 5049 | BROWN ASSOCIATES, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | RBCCLEARINGCUSTODY |
| 2024 | Q3 | 1331 | BROWN, LISLE/CUMMINGS, INC. | YES - Disclosure | NATIONAL FINANCIAL SERVICES LLC | PDF|XML | |
| 2024 | Q3 | 1331 | BROWN, LISLE/CUMMINGS, INC. | No | NA | PDF|XML | |
| 2024 | Q3 | 149486 | BTG PACTUAL US CAPITAL, LLC | No | NA | PDF|XML | |
| 2024 | Q3 | 122225 | BTIG, LLC | No | NA | XML | |
| 2024 | Q3 | 23407 | BUCKMAN, BUCKMAN & REID, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | XML | RBCCLEARINGCUSTODY |
| 2024 | Q3 | 23407 | BUCKMAN, BUCKMAN & REID, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | RBCWEALTHMANAGEMENT |