Guggenheim
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
| 606(a)1 Report | XML Version |
|---|---|
| 2024 Q3 – No Covered Orders | |
| 2024 Q2 – No Covered Orders | |
| 2024 Q1 – No Covered Orders | |
| 2023 Q4 – No Covered Orders | |
| 2023 Q3 – No Covered Orders | |
| 2023 Q2 – No Covered Orders | |
| 2023 Q1 – No Covered Orders | |
| 2022 Q4 – No Covered Orders | |
| 2022 Q3 – No Covered Orders | |
| 2022 Q2 – No Covered Orders | |
| 2022 Q1 – No Covered Orders | |
| 2021 Q4 – No Covered Orders | |
| 2021 Q3 – No Covered Orders | |
| 2021 Q2 – No Covered Orders | |
| 2021 Q1 – No Covered Orders | |
| 2020 Q4 | XML |
| 2020 Q3 | XML |
| 2020 Q2 – No Covered Orders | |
| 2020 Q1 – No Covered Orders |
Regulation NMS – SEC Rule 605 – Disclosure of SEC-Required Order Execution Information
For prior quarterly reports, CLICK HERE.
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