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.

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

606(a)1 ReportXML Version
2022 Q4XML
2022 Q3XML
2022 Q2XML
2022 Q1XML
2021 Q4XML
2021 Q3XML
2021 Q2XML
2021 Q1XML

For further disclosure information and prior reports, CLICK HERE.