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
2024 Q1XML
2023 Q4XML

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

Apr 2024
Mar 2024
Feb 2024
Jan 2024
Dec 2023
Nov 2023
Oct 2023

For prior reports, CLICK HERE.

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