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GTS Securities, LLC

Information

Reporter ID: GTSZ
Reporter Type: Exchange Market Maker
Current Report URL: https://public.s3.com/rule605/gtsz

Submission History

Submit Date	Report URL	Comments
08-31-2026	https://public.s3.com/rule605/gtsz
07-24-2026	http://finra-605.s3-website-us-east-1.amazonaws.com/
02-28-2017	http://finra-605.s3-website-us-east-1.amazonaws.com/

GOLDMAN SACHS AND COMPANY

Information

Reporter ID: GSCO
Reporter Type: OTC Market Maker
Current Report URL: https://www.goldmansachs.com/compliance-rule605

Submission History

Submit Date	Report URL	Comments
07-15-2026	https://www.goldmansachs.com/compliance-rule605
11-04-2021	https://www.goldmansachs.com/compliance-rule605/index.html

Goldman Sachs & Co LLC

Information

Reporter ID: SGMT
Reporter Type: Alternative Trading System
Current Report URL: https://www.goldmansachs.com/compliance-rule605

Submission History

Submit Date	Report URL	Comments
07-15-2026	https://www.goldmansachs.com/compliance-rule605
11-04-2021	https://www.goldmansachs.com/compliance-rule605/index.html

G1 Execution Services

Information

Reporter ID: ETMM
Reporter Type: OTC Market Maker
Current Report URL: https://sig.com/disclosures/g1x-sec-rule-605-reports/

Submission History

Submit Date	Report URL	Comments
07-15-2026	https://sig.com/disclosures/g1x-sec-rule-605-reports/
11-10-2015	https://public.s3.com/rule605/etmm

Edward Jones

Information

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

Submission History

Submit Date	Report URL	Comments
07-06-2026	https://public.s3.com/rule605/edjo/
12-21-2015	http://vrs.vista-one-solutions.com/sec605rule.aspx

DOWLING & PARTNERS SECURITIES, LLC

Information

Reporter ID: DOWL
Reporter Type: OTC Market Maker
Current Report URL: http://private.bestxstats.com/605_public/?bxs_mpid=dowling

Submission History

Submit Date	Report URL	Comments
09-01-2022	http://private.bestxstats.com/605_public/?bxs_mpid=dowling

DAVIDSON (D.A.) & CO. INC.

Information

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

Submission History

Submit Date	Report URL	Comments
07-29-2026	https://public.s3.com/rule605/dada/
11-19-2015	http://vrs.vista-one-solutions.com/sec605rule.aspx

DAIWA CAPITAL MARKETS AMERICA INC.

Information

Reporter ID: DAWA
Reporter Type: OTC Market Maker
Current Report URL: https://brxecs.broadridge.com/public/d4568e59-8f68-d4d7-9c90-b6a0d29ab1c6

Submission History

Submit Date	Report URL	Comments
11-02-2020	https://brxecs.broadridge.com/public/d4568e59-8f68-d4d7-9c90-b6a0d29ab1c6

CODA Markets, Inc.

Information

Reporter ID: CODA
Reporter Type: Alternative Trading System
Current Report URL: https://public.s3.com/rule605/coda/

Submission History

Submit Date	Report URL	Comments
09-26-2022	https://public.s3.com/rule605/coda/	For reports prior to July 2020 please see:https://nms605.karngroup.com/41422b985130394551513d3d

CITIGROUP GLOBAL MARKETS INC.

Information

Reporter ID: SBSH
Reporter Type: Broker-Dealer
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
05-09-2023	https://www.citigroup.com/icg/about/assets/docs/SEC-Rule-605-Disclosure.pdf