About NMS Equity and Options Routing Reports (SEC 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 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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About the Data

Data Glossary & User Guide	NMS Equity and Options Routing Reports (SEC 606(a) Reports) Data Glossary
Data Sources	Rule 606 of Regulation NMS requires broker-dealers to disclose information regarding the handling of their customers’ orders in NMS stocks and listed options.
Time Period	Data collection startedon July 1, 2024. Up to seven rolling years of data will be made available to the public.
Data Purpose	These reports are designed to help customers: better understand how their firm routes and handles their orders; assess the quality of order handling services provided by their firm; and ascertain whether the firm is effectively managing potential conflicts of interest that may impact their firm’s routing decisions.
Publish Schedule	The reports are made available to the public free of charge for each calendar quarter. Data is collected from firms at the end of the quarter and published shortly thereafter.
Terms of Use	Data is free for non-commerical use.
Available Formats	PDF XML
Support	Email [email protected] for assistance