Leaders in Trade Analytics and Compliance Solutions

Regulation NMS – SEC Rule 606- Disclosure of SEC-Required Held Order Routing Information

To view a PDF (2019 and prior) or XML (2020) of a quarterly 606 Report, click on the corresponding orange link below.  For more information, see the 2020 Order Handling Data Schema and Report Renderer for Broker-Dealers.

2023

 

606(a)1 - 4th Quarter - No Covered Orders

606(a)1 - 3rd Quarter - No Covered Orders

606(a)1 - 2nd Quarter - No Covered Orders

606(a)1 - 1st Quarter - No Covered Orders

 

 

2022

 

606(a)1 - 4th Quarter - No Covered Orders

606(a)1 - 3rd Quarter - No Covered Orders

606(a)1 - 2nd Quarter - No Covered Orders

606(a)1 - 1st Quarter - No Covered Orders

 

 

2021

 

606(a)1 - 4th Quarter - No Covered Orders

606(a)1 - 3rd Quarter - No Covered Orders

606(a)1 - 2nd Quarter - No Covered Orders
606(a)1 - 1st Quarter - No Covered Orders

 

 

2020

 

606(a)1 - 4th Quarter - No Covered Orders
606(a)1 - 3rd Quarter - No Covered Orders

606(a)1 - 2nd Quarter - No Covered Orders

606(a)1 - 1st Quarter - No Covered Orders

 

 

2019

 

4th Quarter Report

3rd Quarter Report

2nd Quarter Report

1st Quarter Report

 

 

2018

 

4th Quarter Report

3rd Quarter Report

2nd Quarter Report

1st Quarter Report

 

 

2017

 

4th Quarter Report

3rd Quarter Report

2nd Quarter Report

1st Quarter Report

 

 

 

2016

 

4th Quarter Report

3rd Quarter Report

2nd Quarter Report

1st Quarter Report

 

 

 

2015

 

4th Quarter Report

3rd Quarter Report

2nd Quarter Report

1st Quarter Report

 

 

Leaders in Trade Analytics and Compliance Solutions
Leaders in Trade Analytics and Compliance Solutions
Leaders in Trade Analytics and Compliance Solutions