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.
Year | Quarter | Firm CRD | Firm | Order Routing / Clearing Firm | Date Submitted Sort ascending | Report Type | Context |
---|---|---|---|---|---|---|---|
2024 | Q2 | 1588 | DAVENPORT & COMPANY LLC - Disclosure | PERSHING LLC | 07/26/2024 | ||
2024 | Q2 | 47487 | LANDAAS & COMPANY - Disclosure | PERSHING LLC | 07/26/2024 | ||
2024 | Q2 | 144131 | SPIRE SECURITIES, LLC - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
2024 | Q2 | 29753 | ORIENTAL FINANCIAL SERVICES LLC - Disclosure | PERSHING LLC | 07/26/2024 | ||
2024 | Q2 | 15708 | CONCOURSE FINANCIAL GROUP SECURITIES, INC. - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
2024 | Q2 | 308213 | DIGITAL BROKERAGE SERVICES LLC | Self | 07/26/2024 | XML | |
2024 | Q2 | 147529 | MCLAUGHLIN RYDER INVESTMENTS, INC. - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
2024 | Q2 | 41139 | ALTERNA SECURITIES, INC. - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
2024 | Q2 | 3063 | E. E. POWELL & COMPANY INC. - Disclosure | PERSHING LLC | 07/26/2024 | ||
2024 | Q2 | 7297 | REGAL SECURITIES, INC. | Self | 07/26/2024 | XML | |
2024 | Q2 | 132701 | BANCO DO BRASIL SECURITIES LLC - Disclosure | PERSHING LLC | 07/26/2024 | ||
2024 | Q2 | 32460 | FIRST HEARTLAND CAPITAL, INC. - Disclosure | PERSHING LLC | 07/26/2024 | ||
2024 | Q2 | 17530 | BOK FINANCIAL SECURITIES, INC. - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
2024 | Q2 | 13686 | AVANTAX INVESTMENT SERVICES, INC. | Self | 07/26/2024 | XML | |
2024 | Q2 | 304587 | PUENTE SERVICIOS FINANCIEROS LLC - Disclosure | PERSHING LLC | 07/26/2024 | XML |