| FINRA.org

FORIS CAPITAL US LLC

Information

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

Submission History

Submit Date	Report URL	Comments
09-08-2026	https://public.s3.com/rule605/fors/
07-31-2026	https://urldefense.com/v3/__https://public.s3.com/rule605/avnu/__;!!Ifoxw8Usf-Ni!YHiFb9oUf5VwfshRM7DZ-VUAfZYNs0LLClDcbtv_kiLrmT5DiZNWzU48jVsyLEcMh0e3riFfHyWmb_WpHRLFJnS25MnHv13y$

CITIGROUP GLOBAL MARKETS INC.

Information

Reporter ID: ONEC
Reporter Type: Alternative Trading System
Current Report URL: https://www.citigroup.com/rcs/citigpa/storage/public/sec-rule-605-disclosure.pdf

Submission History

Submit Date	Report URL	Comments
09-04-2026	https://www.citigroup.com/rcs/citigpa/storage/public/sec-rule-605-disclosure.pdf
07-31-2026	https://www.citigroup.com/rcs/citigpa/storage/public/sec-rule-605-disclosure_202501.pdf
07-31-2026	https://public.s3.com/rule605/onec

NYLIFE SECURITIES LLC

Information

Reporter ID: NYLS
Reporter Type: Broker-Dealer
Current Report URL: https://www.newyorklife.com/securities/regulatory-disclosures

Submission History

Submit Date	Report URL	Comments
07-31-2026	https://www.newyorklife.com/securities/regulatory-disclosures

CASH APP INVESTING LLC

Information

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

Submission History

Submit Date	Report URL	Comments
07-30-2026	https://public.s3.com/rule605/tptg/

Insight

ACTION REQUIRED: ORF Transition to Native FIX – Cutover December 11, 2026

Insight

ACTION REQUIRED: TRACE Transition to Native FIX – Cutover December 11, 2026

AVENUE SECURITIES LLC

Information

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

Submission History

Submit Date	Report URL	Comments
07-30-2026	https://public.s3.com/rule605/AVNU/

ACORNS SECURITIES, LLC

Information

Reporter ID: ACRN
Reporter Type: Broker-Dealer
Current Report URL: https://public.newrange.com/605/acornssecurities

Submission History

Submit Date	Report URL	Comments
07-30-2026	https://public.newrange.com/605/acornssecurities

PERSHING LLC

Information

Reporter ID: PFRA
Reporter Type: Broker-Dealer
Current Report URL: https://nms605.karngroup.com/36263a1c55455a5351513d3d

Submission History

Submit Date	Report URL	Comments
07-30-2026	https://nms605.karngroup.com/36263a1c55455a5351513d3d

PERSHING LLC

Information

Reporter ID: PERS
Reporter Type: Broker-Dealer
Current Report URL: https://nms605.karngroup.com/fe258eac5545565355773d3d

Submission History

Submit Date	Report URL	Comments
07-30-2026	https://nms605.karngroup.com/fe258eac5545565355773d3d