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 | 4297 | NOMURA SECURITIES INTERNATIONAL, INC. | No | NA | XML | |
| 2024 | Q3 | 148158 | NORTH SOUTH CAPITAL, LLC | No | NA | PDF|XML | |
| 2024 | Q3 | 314549 | NORTHBOUND SECURITIES LLC | YES - Disclosure | DRIVEWEALTH, LLC | PDF|XML | |
| 2024 | Q3 | 7927 | NORTHERN TRUST SECURITIES, INC. | No | NA | PDF|XML | |
| 2024 | Q3 | 40258 | NORTHLAND SECURITIES, INC. | No | NA | PDF|XML | |
| 2024 | Q3 | 2881 | NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2024 | Q3 | 5167 | NYLIFE SECURITIES LLC | No | NA | PDF|XML | |
| 2024 | Q3 | 21000 | OAKWOOD CAPITAL SECURITIES, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | RBCCLEARINGCUSTODY |
| 2024 | Q3 | 21000 | OAKWOOD CAPITAL SECURITIES, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | RBCWEALTHMANAGEMENT |
| 2024 | Q3 | 42060 | OBERWEIS SECURITIES, INC. | No | NA | PDF|XML | |
| 2024 | Q3 | 42060 | OBERWEIS SECURITIES, INC. | YES - Disclosure | NATIONAL FINANCIAL SERVICES LLC | PDF|XML | |
| 2024 | Q3 | 148493 | ODEON CAPITAL GROUP LLC | No | NA | PDF|XML | |
| 2024 | Q3 | 281867 | OLD MISSION MARKETS LLC | No | NA | PDF|XML | |
| 2024 | Q3 | 173847 | OLDEN LANE SECURITIES, LLC | YES - Disclosure | HILLTOP SECURITIES INC. | PDF|XML | |
| 2024 | Q3 | 4173 | ONEAMERICA SECURITIES, INC. | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2024 | Q3 | 8246 | OPAL SECURITIES, INC. | No | NA | PDF|XML | |
| 2024 | Q3 | 127818 | OPEN TO THE PUBLIC INVESTING, INC. | No | NA | ||
| 2024 | Q3 | 249 | OPPENHEIMER & CO. INC. | No | NA | PDF|XML | |
| 2024 | Q3 | 313329 | OPTIONALITY SECURITIES | YES - Disclosure | APEX CLEARING CORPORATION | PDF|XML | |
| 2024 | Q3 | 316308 | OPTIVER EXECUTION SERVICES LLC | No | NA | PDF|XML | |
| 2024 | Q3 | 29753 | ORIENTAL FINANCIAL SERVICES LLC | No | NA | XML | |
| 2024 | Q3 | 29753 | ORIENTAL FINANCIAL SERVICES LLC | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2024 | Q3 | 3978 | OSAIC FA, INC. | No | NA | PDF|XML | NFS |
| 2024 | Q3 | 3870 | OSAIC FS, INC. | No | NA | PDF|XML | NFS |
| 2024 | Q3 | 35371 | OSAIC INSTITUTIONS, INC. | No | NA | PDF|XML | |
| 2024 | Q3 | 133763 | OSAIC SERVICES, INC. | No | NA | PDF|XML | |
| 2024 | Q3 | 23131 | OSAIC WEALTH, INC. | No | NA | PDF|XML | |
| 2024 | Q3 | 23131 | OSAIC WEALTH, INC. | No | NA | XML | PERSHING |
| 2024 | Q3 | 131607 | PACIFIC CENTURY SECURITIES, LLC | YES - Disclosure | VELOX CLEARING LLC | PDF|XML | |
| 2024 | Q3 | 37031 | PACKERLAND BROKERAGE SERVICES, INC. | YES - Disclosure | HILLTOP SECURITIES INC. | PDF|XML | |
| 2024 | Q3 | 10963 | PAPAMARKOU WELLNER & CO., INC. | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2024 | Q3 | 134657 | PAR5 CAPITAL & CO LLC | No | NA | XML | |
| 2024 | Q3 | 46173 | PARK AVENUE SECURITIES LLC | No | NA | PDF|XML | |
| 2024 | Q3 | 115368 | PARKLAND SECURITIES, LLC | No | NA | PDF|XML | |
| 2024 | Q3 | 5670 | PAULSON INVESTMENT COMPANY LLC | No | NA | PDF|XML | |
| 2024 | Q3 | 25590 | PEACHCAP SECURITIES, INC. | YES - Disclosure | HILLTOP SECURITIES INC. | PDF|XML | |
| 2024 | Q3 | 145994 | PENSERRA SECURITIES, LLC | No | NA | PDF|XML | |
| 2024 | Q3 | 145994 | PENSERRA SECURITIES, LLC | No | NA | PDF|XML | CHBC |
| 2024 | Q3 | 145994 | PENSERRA SECURITIES, LLC | No | NA | PDF|XML | PNSR |
| 2024 | Q3 | 36671 | PERSHING ADVISOR SOLUTIONS LLC | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2024 | Q3 | 36671 | PERSHING ADVISOR SOLUTIONS LLC | No | NA | PDF|XML | |
| 2024 | Q3 | 7560 | PERSHING LLC | No | NA | PDF|XML | |
| 2024 | Q3 | 104387 | PGM GLOBAL INC. | No | NA | PDF|XML | |
| 2024 | Q3 | 35800 | PHILLIPS & COMPANY | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2024 | Q3 | 144403 | PHX FINANCIAL, INC. | YES - Disclosure | AXOS CLEARING LLC | PDF|XML | |
| 2024 | Q3 | 36500 | PICTET OVERSEAS INC. | No | NA | PDF|XML | |
| 2024 | Q3 | 142910 | PINNACLE INVESTMENTS, LLC | YES - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | PDF|XML | |
| 2024 | Q3 | 665 | PIPER SANDLER & CO. | No | NA | PDF|XML | |
| 2024 | Q3 | 11869 | PLANMEMBER SECURITIES CORPORATION | No | NA | ||
| 2024 | Q3 | 36866 | PLANNER SECURITIES LLC | YES - Disclosure | APEX CLEARING CORPORATION | PDF|XML | |
| 2024 | Q3 | 129052 | PNC INVESTMENTS | YES - Disclosure | NATIONAL FINANCIAL SERVICES LLC | PDF|XML | |
| 2024 | Q3 | 129052 | PNC INVESTMENTS | No | NA | PDF|XML | |
| 2024 | Q3 | 42847 | POLAR INVESTMENT COUNSEL, INC. | YES - Disclosure | HILLTOP SECURITIES INC. | PDF|XML |