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OPPENHEIMER & CO. INC.

Information

Reporter ID: OPCO
Reporter Type: Broker-Dealer
Current Report URL: https://public.s3.com/rule605/opco/

Submission History

Submit Date	Report URL	Comments
06-29-2026	https://public.s3.com/rule605/opco/	Reporter Type changed from OTC Market Maker to Broker-Dealer.
09-02-2020	http://external.s3.com/rule605/opco	For reports prior to August 2020, please see: https://www.fisglobal.com/en/ptc/rule-605

NATIONAL FINANCIAL SERVICES LLC

Information

Reporter ID: NFSC
Reporter Type: OTC Market Maker
Current Report URL: http://vrs.vista-one-solutions.com/sec605rule.aspx

Submission History

Submit Date	Report URL	Comments
03-04-2016	http://vrs.vista-one-solutions.com/sec605rule.aspx

Muriel Siebert & Co., Inc.

Information

Reporter ID: STXG
Reporter Type: OTC Market Maker
Current Report URL: http://external.s3.com/rule605/stxg/

Submission History

Submit Date	Report URL	Comments
06-20-2023	http://external.s3.com/rule605/stxg/

MORGAN STANLEY & CO. LLC

Information

Reporter ID: MSCO
Reporter Type: OTC Market Maker
Current Report URL: https://external.s3.com/rule605/msco/

Submission History

Submit Date	Report URL	Comments
07-16-2015	https://external.s3.com/rule605/msco/

MIZUHO SECURITIES USA INC.

Information

Reporter ID: MZHO
Reporter Type: OTC Market Maker
Current Report URL: https://public.s3.com/rule605/mzho/

Submission History

Submit Date	Report URL	Comments
06-29-2026	https://public.s3.com/rule605/mzho/
08-29-2022	http://public.s3.com/rule605/mzho/

MAXIM GROUP LLC

Information

Reporter ID: MAXM
Reporter Type: OTC Market Maker
Current Report URL: https://public.s3.com/rule605/maxm/

Submission History

Submit Date	Report URL	Comments
07-01-2026	https://public.s3.com/rule605/maxm/
08-30-2022	https://www.maximgrp.com/public-disclosures/

MACQUARIE CAPITAL (USA) INC.

Information

Reporter ID: MACQ
Reporter Type: OTC Market Maker
Current Report URL: http://vrs.vista-one-solutions.com/sec605rule.aspx

Submission History

Submit Date	Report URL	Comments
03-08-2016	http://vrs.vista-one-solutions.com/sec605rule.aspx

Liquidnet H2O

Information

Reporter ID: LQNA
Reporter Type: Alternative Trading System
Current Report URL: http://www.liquidnet.com/pages/monthly-execution-reports

Submission History

Submit Date	Report URL	Comments
12-22-2016	http://www.liquidnet.com/pages/monthly-execution-reports

LIQUIDNET

Information

Reporter ID: LQNT
Reporter Type: Alternative Trading System
Current Report URL: http://www.liquidnet.com/pages/monthly-execution-reports

Submission History

Submit Date	Report URL	Comments
07-16-2015	http://www.liquidnet.com/pages/monthly-execution-reports	Prior to 1/28/13 the link was www.liquidnet.com/about/monthlyExecutionReport.jsp

LEVEL ATS

Information

Reporter ID: EBXL
Reporter Type: Alternative Trading System
Current Report URL: https://www.levelmarkets.com

Submission History

Submit Date	Report URL	Comments
07-08-2026	https://www.levelmarkets.com
11-27-2019	https://levelmarkets.com/disclosure-of-sec-required-order-execution-information/