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 | 24771 | BEECH HILL SECURITIES, INC. | Self | 07/15/2024 | XML | |
| 2024 | Q2 | 8032 | COMMONWEALTH FINANCIAL NETWORK | Self | 07/15/2024 | ||
| 2024 | Q2 | 14023 | SYNOVUS SECURITIES, INC. | Self | 07/15/2024 | XML | |
| 2024 | Q2 | 38964 | CREAND SECURITIES | Self | 07/15/2024 | XML | |
| 2024 | Q2 | 42060 | OBERWEIS SECURITIES, INC. | Self | 07/15/2024 | XML | |
| 2024 | Q2 | 147529 | MCLAUGHLIN RYDER INVESTMENTS, INC. | Self | 07/13/2024 | ||
| 2024 | Q2 | 35747 | PURSHE KAPLAN STERLING INVESTMENTS | Self | 07/12/2024 | XML | |
| 2024 | Q2 | 14303 | SIGMA FINANCIAL CORPORATION | Self | 07/12/2024 | XML | |
| 2024 | Q2 | 29753 | ORIENTAL FINANCIAL SERVICES LLC | Self | 07/12/2024 | ||
| 2024 | Q2 | 44430 | FIRST CITIZENS INVESTOR SERVICES, INC. | Self | 07/12/2024 | XML | |
| 2024 | Q2 | 120583 | US TIGER SECURITIES, INC. | Self | 07/12/2024 | XML | |
| 2024 | Q2 | 8096 | POPULAR SECURITIES, LLC | Self | 07/12/2024 | ||
| 2024 | Q2 | 1331 | BROWN, LISLE/CUMMINGS, INC. | Self | 07/12/2024 | XML | |
| 2024 | Q2 | 103727 | GAGNON SECURITIES, LLC | Self | 07/12/2024 | ||
| 2024 | Q2 | 35747 | PURSHE KAPLAN STERLING INVESTMENTS | Self | 07/12/2024 |