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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 ReportXML Version
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 Q4XML
2020 Q3XML
2020 Q2 – No Covered Orders
2020 Q1 – No Covered Orders

Regulation NMS – SEC Rule 605 – Disclosure of SEC-Required Order Execution Information

Reports
Apr 2024
Mar 2024
Feb 2024
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Dec 2023
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Dec 2020
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For prior quarterly reports, CLICK HERE.

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