Ladenburg
To view a PDF or XML (2020-Newer) of a quarterly 606 Report, click on the corresponding link below. For more information, see the 2020 Order Handling Data Schema and Report Renderer for Broker-Dealers.
605 Disclosures can be found at the bottom of this page
Regulation NMS – SEC Rule 606-Disclosure of SEC-Required Held Order Routing Information
Regulation NMS – SEC Rule 605 – Disclosure of SEC-Required Order Execution Information
For prior reports, CLICK HERE.