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.
|
Calendar year for which a firm submits an SEC Rule 606(a) report.
|
Calendar quarter for which a firm submits an SEC Rule 606(a) report.
|
CRD of the firm submitting the SEC Rule 606(a) report or adopting a clearing firm's report.
|
Name of the firm submitting the SEC Rule 606(a) report or adopting a clearing firm's report.
|
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.
|
Provides the name of the clearing firm whose report the member identified in the “Firm” field is adopting by reference.
|
606(a) Report
Link to download the SEC Rule 606(a) report in a PDF or XML format.
|
A free form field used by firms to provide additional information in connection with the submission of SEC Rule 606(a) reports.
|
|---|---|---|---|---|---|---|---|
| 2024 | Q3 | 135414 | MCDONALD PARTNERS LLC | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | RBCWEALTHMANAGEMENT |
| 2024 | Q3 | 135414 | MCDONALD PARTNERS LLC | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | RBCCLEARINGCUSTODY |
| 2024 | Q3 | 147529 | MCLAUGHLIN RYDER INVESTMENTS, INC. | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2024 | Q3 | 7691 | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | No | NA | PDF|XML | |
| 2024 | Q3 | 2764 | MESIROW FINANCIAL, INC. | No | NA | ||
| 2024 | Q3 | 21544 | MIDDLEGATE SECURITIES INC. | No | NA | PDF|XML | |
| 2024 | Q3 | 21544 | MIDDLEGATE SECURITIES INC. | YES - Disclosure | NATIONAL FINANCIAL SERVICES LLC | PDF|XML | |
| 2024 | Q3 | 101080 | MIDWESTERN SECURITIES TRADING COMPANY, LLC | No | NA | PDF|XML | |
| 2024 | Q3 | 30679 | MIRAE ASSET SECURITIES (USA) INC. | No | NA | PDF|XML | |
| 2024 | Q3 | 37818 | MISCHLER FINANCIAL GROUP, INC. | No | NA | PDF|XML | |
| 2024 | Q3 | 146193 | MIURA CAPITAL, LLC | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2024 | Q3 | 146193 | MIURA CAPITAL, LLC | No | NA | ||
| 2024 | Q3 | 19647 | MIZUHO SECURITIES USA LLC | No | NA | PDF|XML | |
| 2024 | Q3 | 10409 | MML INVESTORS SERVICES, LLC | No | NA | PDF|XML | |
| 2024 | Q3 | 10409 | MML INVESTORS SERVICES, LLC | YES - Disclosure | NATIONAL FINANCIAL SERVICES LLC | PDF|XML | |
| 2024 | Q3 | 38535 | MOLONEY SECURITIES CO., INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | RBCWEALTHMANAGEMENT |
| 2024 | Q3 | 38535 | MOLONEY SECURITIES CO., INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | RBCCLEARINGCUSTODY |
| 2024 | Q3 | 17587 | MOMENTUM INDEPENDENT NETWORK INC. | YES - Disclosure | HILLTOP SECURITIES INC. | PDF|XML | |
| 2024 | Q3 | 309574 | MONDEUM CAPITAL | No | NA | PDF|XML | |
| 2024 | Q3 | 12963 | MONEY CONCEPTS CAPITAL CORP | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2024 | Q3 | 12963 | MONEY CONCEPTS CAPITAL CORP | No | NA | ||
| 2024 | Q3 | 283078 | MOOMOO FINANCIAL INC. | No | NA | ||
| 2024 | Q3 | 149777 | MORGAN STANLEY | No | NA | PDF|XML | |
| 2024 | Q3 | 8209 | MORGAN STANLEY & CO. LLC | No | NA | PDF|XML | |
| 2024 | Q3 | 44807 | MORGAN WILSHIRE SECURITIES, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | RBCWEALTHMANAGEMENT |
| 2024 | Q3 | 44807 | MORGAN WILSHIRE SECURITIES, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | RBCCLEARINGCUSTODY |
| 2024 | Q3 | 154327 | MSEC, LLC | No | NA | PDF|XML | |
| 2024 | Q3 | 19685 | MUFG SECURITIES AMERICAS INC. | No | NA | PDF|XML | |
| 2024 | Q3 | 5376 | MURIEL SIEBERT & CO., LLC | No | NA | PDF|XML | |
| 2024 | Q3 | 142783 | MURRAY SECURITIES, INC. | No | HILLTOP SECURITIES INC. | PDF|XML | |
| 2024 | Q3 | 611 | MUTUAL OF OMAHA INVESTOR SERVICES, INC. | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2024 | Q3 | 13092 | MUTUAL SECURITIES, INC. | YES - Disclosure | NATIONAL FINANCIAL SERVICES LLC | PDF|XML | |
| 2024 | Q3 | 13092 | MUTUAL SECURITIES, INC. | No | NA | PDF|XML | |
| 2024 | Q3 | 39455 | NATALLIANCE SECURITIES, LLC | No | NA | PDF|XML | |
| 2024 | Q3 | 13041 | NATIONAL FINANCIAL SERVICES LLC | No | NA | PDF|XML | |
| 2024 | Q3 | 44181 | NATIONS FINANCIAL GROUP, INC. | YES - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | PDF|XML | |
| 2024 | Q3 | 31029 | NATIONWIDE PLANNING ASSOCIATES INC. | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2024 | Q3 | 31029 | NATIONWIDE PLANNING ASSOCIATES INC. | No | NA | ||
| 2024 | Q3 | 11173 | NATIONWIDE SECURITIES, LLC | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2024 | Q3 | 1101 | NATIXIS SECURITIES AMERICAS LLC | No | NA | PDF|XML | |
| 2024 | Q3 | 22373 | NAVIGATOR SECURITIES LIMITED | YES - Disclosure | HILLTOP SECURITIES INC. | PDF|XML | |
| 2024 | Q3 | 138459 | NAVY FEDERAL INVESTMENT SERVICES, LLC | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2024 | Q3 | 138459 | NAVY FEDERAL INVESTMENT SERVICES, LLC | YES - Disclosure | DRIVEWEALTH, LLC | PDF|XML | |
| 2024 | Q3 | 17870 | NBC SECURITIES, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | RBCCLEARINGCUSTODY |
| 2024 | Q3 | 17870 | NBC SECURITIES, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | RBCWEALTHMANAGEMENT |
| 2024 | Q3 | 17870 | NBC SECURITIES, INC. | No | NA | PDF|XML | |
| 2024 | Q3 | 13577 | NETWORK 1 FINANCIAL SECURITIES INC. | YES - Disclosure | AXOS CLEARING LLC | PDF|XML | |
| 2024 | Q3 | 2908 | NEUBERGER BERMAN BD LLC | No | NA | XML | |
| 2024 | Q3 | 104065 | NEWBRIDGE SECURITIES CORPORATION | No | NA | PDF|XML | |
| 2024 | Q3 | 10674 | NEWEDGE SECURITIES, INC. | No | NA | ||
| 2024 | Q3 | 46214 | NEXT FINANCIAL GROUP, INC. | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2024 | Q3 | 46214 | NEXT FINANCIAL GROUP, INC. | No | NA | PDF|XML | |
| 2024 | Q3 | 15768 | NOBLE CAPITAL MARKETS, INC. | No | NA | PDF|XML | |
| 2024 | Q3 | 4297 | NOMURA SECURITIES INTERNATIONAL, INC. | No | NA |