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 | 31194 | RBC CAPITAL MARKETS, LLC | No | NA | XML | RBCWEALTHMANAGEMENT |
| 2024 | Q3 | 31194 | RBC CAPITAL MARKETS, LLC | No | NA | RBCCLEARINGCUSTODY | |
| 2024 | Q3 | 15548 | RCM SECURITIES | YES - Disclosure | INTERACTIVE BROKERS LLC | ||
| 2024 | Q3 | 23769 | REALTA EQUITIES, INC. | YES - Disclosure | AXOS CLEARING LLC | PDF|XML | |
| 2024 | Q3 | 23769 | REALTA EQUITIES, INC. | YES - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | PDF|XML | |
| 2024 | Q3 | 23769 | REALTA EQUITIES, INC. | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2024 | Q3 | 287912 | REDBRIDGE SECURITIES LLC | YES - Disclosure | APEX CLEARING CORPORATION | PDF|XML | |
| 2024 | Q3 | 140564 | REDBURN ATLANTIC | No | NA | XML | |
| 2024 | Q3 | 7297 | REGAL SECURITIES, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | RBCWEALTHMANAGEMENT |
| 2024 | Q3 | 7297 | REGAL SECURITIES, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | RBCCLEARINGCUSTODY |
| 2024 | Q3 | 7297 | REGAL SECURITIES, INC. | No | NA | PDF|XML | |
| 2024 | Q3 | 30568 | REGISTER FINANCIAL ASSOCIATES, INC. | YES - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | PDF|XML | |
| 2024 | Q3 | 14178 | REVERE SECURITIES LLC | No | NA | PDF|XML | |
| 2024 | Q3 | 19610 | RHODES SECURITIES, INC. | YES - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | PDF|XML | |
| 2024 | Q3 | 21606 | RICE FINANCIAL PRODUCTS COMPANY | No | NA | ||
| 2024 | Q3 | 713 | RICHARDS MERRILL WEALTH MANAGEMENT | YES - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | PDF|XML | |
| 2024 | Q3 | 30812 | RIEDL FIRST SECURITIES COMPANY OF KANSAS | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | RBCCLEARINGCUSTODY |
| 2024 | Q3 | 30812 | RIEDL FIRST SECURITIES COMPANY OF KANSAS | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | RBCWEALTHMANAGEMENT |
| 2024 | Q3 | 8158 | ROBERT W. BAIRD & CO. INCORPORATED | No | NA | PDF|XML | |
| 2024 | Q3 | 19456 | ROBERTS & RYAN, INC. | No | NA | PDF|XML | |
| 2024 | Q3 | 165998 | ROBINHOOD FINANCIAL, LLC | No | NA | PDF|XML | |
| 2024 | Q3 | 287900 | ROBINHOOD SECURITIES, LLC | No | NA | PDF|XML | |
| 2024 | Q3 | 291361 | ROCKEFELLER FINANCIAL LLC | No | NA | PDF|XML | |
| 2024 | Q3 | 3215 | ROMANO BROTHERS AND COMPANY | YES - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | PDF|XML | |
| 2024 | Q3 | 18377 | ROSENBLATT SECURITIES INC. | No | NA | PDF|XML | |
| 2024 | Q3 | 15407 | ROTH CAPITAL PARTNERS, LLC | No | NA | PDF|XML | |
| 2024 | Q3 | 728 | ROTHSCHILD INVESTMENT LLC | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2024 | Q3 | 134284 | RQD* CLEARING, LLC | No | NA | PDF|XML | |
| 2024 | Q3 | 40744 | S.L. REED & COMPANY | YES - Disclosure | NATIONAL FINANCIAL SERVICES LLC | PDF|XML | |
| 2024 | Q3 | 148137 | SABADELL SECURITIES USA, INC. | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2024 | Q3 | 47873 | SAFRA SECURITIES LLC | No | NA | PDF|XML | |
| 2024 | Q3 | 3254 | SAGE, RUTTY & CO., INC. | YES - Disclosure | WELLS FARGO CLEARING SERVICES, LLC | PDF|XML | |
| 2024 | Q3 | 205 | SANCTUARY SECURITIES, INC. | No | NA | PDF|XML | |
| 2024 | Q3 | 104474 | SANFORD C. BERNSTEIN & CO., LLC | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2024 | Q3 | 41791 | SANTANDER SECURITIES LLC | No | NA | PDF|XML | |
| 2024 | Q3 | 150696 | SANTANDER US CAPITAL MARKETS LLC | No | NA | PDF|XML | |
| 2024 | Q3 | 115547 | SAXONY SECURITIES, INC. | No | NA | PDF|XML | |
| 2024 | Q3 | 47275 | SCF SECURITIES, INC. | YES - Disclosure | NATIONAL FINANCIAL SERVICES LLC | PDF|XML | |
| 2024 | Q3 | 2739 | SCOTIA CAPITAL (USA) INC. | No | NA | PDF|XML | |
| 2024 | Q3 | 116270 | SEAPORT GLOBAL SECURITIES LLC | No | NA | PDF|XML | |
| 2024 | Q3 | 8330 | SEAPORT SECURITIES CORP. | No | NA | PDF|XML | |
| 2024 | Q3 | 13035 | SEARLE & CO. | No | NA | PDF|XML | |
| 2024 | Q3 | 19899 | SECU BROKERAGE SERVICES | YES - Disclosure | PERSHING LLC | PDF|XML | |
| 2024 | Q3 | 47215 | SECURITIES EQUITY GROUP | YES - Disclosure | NATIONAL FINANCIAL SERVICES LLC | PDF|XML | |
| 2024 | Q3 | 759 | SECURITIES MANAGEMENT & RESEARCH, INC. | No | NA | PDF|XML | |
| 2024 | Q3 | 6516 | SECURITIES RESEARCH, INC. OF FLORIDA | No | NA | PDF|XML | |
| 2024 | Q3 | 10690 | SEI INVESTMENTS DISTRIBUTION CO. | YES - Disclosure | BOFA SECURITIES, INC. | PDF|XML | |
| 2024 | Q3 | 10690 | SEI INVESTMENTS DISTRIBUTION CO. | YES - Disclosure | J.P. MORGAN SECURITIES LLC | PDF|XML | |
| 2024 | Q3 | 10690 | SEI INVESTMENTS DISTRIBUTION CO. | YES - Disclosure | CITIGROUP GLOBAL MARKETS INC. | PDF|XML | SBSH |
| 2024 | Q3 | 10690 | SEI INVESTMENTS DISTRIBUTION CO. | YES - Disclosure | CITIGROUP GLOBAL MARKETS INC. | PDF|XML | CGWM |
| 2024 | Q3 | 10690 | SEI INVESTMENTS DISTRIBUTION CO. | YES - Disclosure | VIRTU AMERICAS LLC | PDF|XML | |
| 2024 | Q3 | 10690 | SEI INVESTMENTS DISTRIBUTION CO. | YES - Disclosure | INDUSTRIAL AND COMMERCIAL BANK OF CHINA FINANCIAL SERVICES LLC | ||
| 2024 | Q3 | 13854 | SELKIRK INVESTMENTS, INC. | YES - Disclosure | HILLTOP SECURITIES INC. | PDF|XML |