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 | 298361 | ETORO USA SECURITIES INC. | Self | 07/26/2024 | ||
2024 | Q2 | 105387 | VALLEY FINANCIAL MANAGEMENT, INC. - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
2024 | Q2 | 30833 | CENTAURUS FINANCIAL, INC. - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
2024 | Q2 | 70 | BCG SECURITIES, INC. - Disclosure | PERSHING LLC | 07/26/2024 | ||
2024 | Q2 | 138459 | NAVY FEDERAL INVESTMENT SERVICES, LLC - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
2024 | Q2 | 25853 | RAYMOND JAMES (USA) LTD. - Disclosure | PERSHING LLC | 07/26/2024 | ||
2024 | Q2 | 11643 | HORACE MANN INVESTORS, INC. - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
2024 | Q2 | 103857 | USA FINANCIAL SECURITIES CORPORATION - Disclosure | PERSHING LLC | 07/26/2024 | ||
2024 | Q2 | 36644 | PRIVATE PORTFOLIO, INC. - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
2024 | Q2 | 1834 | GIRARD INVESTMENT SERVICES, LLC - Disclosure | PERSHING LLC | 07/26/2024 | ||
2024 | Q2 | 7297 | REGAL SECURITIES, INC. | Self | 07/26/2024 | ||
2024 | Q2 | 146193 | MIURA CAPITAL, LLC - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
2024 | Q2 | 30177 | HUNTER ASSOCIATES LLC - Disclosure | PERSHING LLC | 07/26/2024 | ||
2024 | Q2 | 17053 | INSIGNEO INTERNATIONAL FINANCIAL SERVICES LLC - Disclosure | PERSHING LLC | 07/26/2024 | XML | |
2024 | Q2 | 167280 | JANE STREET EXECUTION SERVICES, LLC | Self | 07/25/2024 | XML |