| FINRA.org

StoneX Financial, Inc.

Information

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

Submission History

Submit Date	Report URL	Comments
07-14-2026	https://public.s3.com/rule605/intl/
09-07-2022	https://public.s3.com/rule605/intl/

STIFEL NICOLAUS & COMPANY, INC

Information

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

Submission History

Submit Date	Report URL	Comments
05-03-2022	https://public.s3.com/rule605/stfl/	Prior to 5/3/2022 https://private.bestxstats.com/ftp/stifel_nicolaus/

STEPHENS, INC.

Information

Reporter ID: SPHN
Reporter Type: Exchange Market Maker
Current Report URL: https://disclosure.bestxstats.com/sphn/605/

Submission History

Submit Date	Report URL	Comments
06-26-2026	https://disclosure.bestxstats.com/sphn/605/	Reporter Type changed from OTC Market Maker to Exchange Market Maker.
05-09-2022	http://disclosures.bxstech.com/sphn

SG Americas Securities, LLC

Information

Reporter ID: SGAS
Reporter Type: OTC Market Maker
Current Report URL: https://www.sgasdisclosure.com/en/order-handling/order-execution-routing-practices-sec-rule-605-606/

Submission History

Submit Date	Report URL	Comments
06-25-2026	https://www.sgasdisclosure.com/en/order-handling/order-execution-routing-practices-sec-rule-605-606/
03-20-2019	https://www.sgasdisclosure.com/en/order-handling/order-execution-routing-practices-sec-rule-605-606/

ROBERT W. BAIRD & CO. INCORPORATED

Information

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

Submission History

Submit Date	Report URL	Comments
07-22-2026	https://public.s3.com/rule605/bard/
09-23-2022	https://public.s3.com/rule605/bard/	Historical Reports : https://mta.ihsmarkit.com/app-v2/public-report-library/public-report-library-view/Robert%20W%20Baird%20Co%20Inc/219

RBC CAPITAL MARKETS, LLC

Information

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

Submission History

Submit Date	Report URL	Comments
07-24-2026	https://public.s3.com/rule605/rbccm/
08-16-2019	https://public.s3.com/rule605/rbccm/

RAYMOND JAMES & ASSOCIATES, INC.

Information

Reporter ID: RAJA
Reporter Type: OTC Market Maker
Current Report URL: https://www.fisglobal.com/ptc/rule-605

Submission History

Submit Date	Report URL	Comments
05-09-2022	https://www.fisglobal.com/ptc/rule-605

PureStream, LLC

Information

Reporter ID: PURE
Reporter Type: Alternative Trading System
Current Report URL: https://purestream.tech/compliance-rule605/

Submission History

Submit Date	Report URL	Comments
07-06-2026	https://purestream.tech/compliance-rule605/
08-24-2023	https://purestream.tech/compliance-rule605/

PIPER JAFFRAY & CO.

Information

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

Submission History

Submit Date	Report URL	Comments
02-10-2016	https://vrs.vista-one-solutions.com/sec605rule.aspx

PAULSON INVESTMENT CO., INC.

Information

Reporter ID: PAUL
Reporter Type: Broker-Dealer
Current Report URL: https://www.paulsoninvestment.com

Submission History

Submit Date	Report URL	Comments
07-23-2026	https://www.paulsoninvestment.com
02-09-2022	https://abelnoser.com/605-paulson.html