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 | 130645 | DAWSON JAMES SECURITIES, INC. | Self | 07/11/2024 | XML | |
| 2024 | Q2 | 2002 | GILDER GAGNON HOWE & CO. LLC | Self | 07/11/2024 | ||
| 2024 | Q2 | 36500 | PICTET OVERSEAS INC. | Self | 07/11/2024 | ||
| 2024 | Q2 | 316232 | BANCOLOMBIA CAPITAL LLC | Self | 07/11/2024 | ||
| 2024 | Q2 | 10690 | SEI INVESTMENTS DISTRIBUTION CO. - Disclosure | INDUSTRIAL AND COMMERCIAL BANK OF CHINA FINANCIAL SERVICES LLC | 07/11/2024 | ||
| 2024 | Q2 | 132187 | GRIFFINEST ASIA SECURITIES, LLC | Self | 07/11/2024 | XML | |
| 2024 | Q2 | 40258 | NORTHLAND SECURITIES, INC. | Self | 07/11/2024 | XML | |
| 2024 | Q2 | 39455 | NATALLIANCE SECURITIES, LLC | Self | 07/11/2024 | XML | |
| 2024 | Q2 | 3420 | HERBERT J. SIMS & CO, INC. | Self | 07/11/2024 | ||
| 2024 | Q2 | 32460 | FIRST HEARTLAND CAPITAL, INC. | Self | 07/10/2024 | ||
| 2024 | Q2 | 3978 | OSAIC FA, INC. | Self | 07/10/2024 | NFS | |
| 2024 | Q2 | 3870 | OSAIC FS, INC. | Self | 07/10/2024 | XML | NFS |
| 2024 | Q2 | 32460 | FIRST HEARTLAND CAPITAL, INC. | Self | 07/10/2024 | XML | |
| 2024 | Q2 | 3978 | OSAIC FA, INC. | Self | 07/10/2024 | XML | NFS |
| 2024 | Q2 | 166318 | CHINA RENAISSANCE SECURITIES (US) INC. | Self | 07/10/2024 |