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 | 47768 | FERRETTI GROUP, INC. | Self | 07/17/2024 | XML | |
| 2024 | Q2 | 19585 | HSBC SECURITIES (USA) INC. | Self | 07/17/2024 | ||
| 2024 | Q2 | 103727 | GAGNON SECURITIES, LLC | Self | 07/17/2024 | XML | |
| 2024 | Q2 | 41791 | SANTANDER SECURITIES LLC | Self | 07/17/2024 | XML | |
| 2024 | Q2 | 18476 | TD SECURITIES (USA) LLC | Self | 07/17/2024 | XML | |
| 2024 | Q2 | 10299 | CETERA ADVISORS LLC | Self | 07/17/2024 | XML | |
| 2024 | Q2 | 10358 | CETERA FINANCIAL SPECIALISTS LLC | Self | 07/17/2024 | XML | |
| 2024 | Q2 | 15340 | CETERA INVESTMENT SERVICES LLC | Self | 07/17/2024 | ||
| 2024 | Q2 | 7870 | TD AMERITRADE, INC. | Self | 07/17/2024 | ||
| 2024 | Q2 | 250 | EDWARD JONES | Self | 07/17/2024 | XML | |
| 2024 | Q2 | 5633 | TD AMERITRADE CLEARING, INC. | Self | 07/17/2024 | XML | |
| 2024 | Q2 | 17073 | UMB FINANCIAL SERVICES, INC. | Self | 07/17/2024 | XML | |
| 2024 | Q2 | 47768 | FERRETTI GROUP, INC. | Self | 07/17/2024 | ||
| 2024 | Q2 | 284714 | ANOS CAPITAL, LLC | Self | 07/17/2024 | ||
| 2024 | Q2 | 21544 | MIDDLEGATE SECURITIES INC. | Self | 07/17/2024 |