For the Public
FINRA Data provides non-commercial use of data, specifically the ability to save data views and create and manage a Bond Watchlist.
For Industry Professionals
Registered representatives can fulfill Continuing Education requirements, view their industry CRD record and perform other compliance tasks.
For Member Firms
Firm compliance professionals can access filings and requests, run reports and submit support tickets.
SEC Rule 606(a) requires broker-dealers that route equity and option orders on behalf of customers to prepare quarterly reports that disclose specific information about their order routing practices for non-directed orders in NMS stocks and NMS securities that are options contracts. The reports are published as PDFs and XML files for each calendar quarter. Data is collected from firms at the end of the quarter and reports are published shortly thereafter. Learn more about equities and options.
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Calendar year for which a firm submits an SEC Rule 606(a) report.
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Calendar quarter for which a firm submits an SEC Rule 606(a) report.
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CRD of the firm submitting the SEC Rule 606(a) report or adopting a clearing firm's report.
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Name of the firm submitting the SEC Rule 606(a) report or adopting a clearing firm's report.
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Adopting Clearing Firm's Report by Reference
Yes/No field indicating if the member identified in the “Firm” field is adopting a clearing firm's report by reference.
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Provides the name of the clearing firm whose report the member identified in the “Firm” field is adopting by reference.
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606(a) Report
Link to download the SEC Rule 606(a) report in a PDF or XML format.
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A free form field used by firms to provide additional information in connection with the submission of SEC Rule 606(a) reports.
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| 2026 | Q2 | 3767 | &PARTNERS | YES - Disclosure | SIMPLEX TRADING, LLC | XML | |
| 2026 | Q2 | 3115 | A.G. QUINTAL INVESTMENT COMPANY INC. | YES - Disclosure | SIMPLEX TRADING, LLC | XML | |
| 2026 | Q2 | 8361 | A.G.P. / ALLIANCE GLOBAL PARTNERS | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2026 | Q2 | 309048 | ADELPHI STOCK BROKERS | NO | NA | ||
| 2026 | Q2 | 15007 | AEGIS CAPITAL CORP. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2026 | Q2 | 6158 | AEI SECURITIES, INC. | YES - Disclosure | SIMPLEX TRADING, LLC | XML | |
| 2026 | Q2 | 26193 | ALAMO CAPITAL | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2026 | Q2 | 40077 | ALEXANDER CAPITAL, L.P. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2026 | Q2 | 7597 | ALLEGHENY INVESTMENTS, LTD. | YES - Disclosure | SIMPLEX TRADING, LLC | XML | |
| 2026 | Q2 | 1042 | ALLEN & COMPANY LLC | NO | NA | PDF|XML | |
| 2026 | Q2 | 41139 | ALTERNA SECURITIES, INC. | NO | NA | PDF|XML | |
| 2026 | Q2 | 119249 | AMERICAN CAPITAL PARTNERS, LLC | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2026 | Q2 | 7388 | AMERICAN GLOBAL WEALTH MANAGEMENT, INC. | YES - Disclosure | SIMPLEX TRADING, LLC | XML | |
| 2026 | Q2 | 135288 | AMERICAN INDEPENDENT SECURITIES GROUP, LLC | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2026 | Q2 | 3001 | AMERICAN TRUST INVESTMENT SERVICES, INC. | YES | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2026 | Q2 | 3001 | AMERICAN TRUST INVESTMENT SERVICES, INC. | YES - Disclosure | SIMPLEX TRADING, LLC | XML | |
| 2026 | Q2 | 6363 | AMERIPRISE FINANCIAL SERVICES, LLC | YES - Disclosure | SIMPLEX TRADING, LLC | XML | |
| 2026 | Q2 | 155979 | ANDBANC BROKERAGE, LLC | NO | NA | XML | MPID |
| 2026 | Q2 | 155979 | ANDBANC BROKERAGE, LLC | NO | NA | MPID1 | |
| 2026 | Q2 | 284714 | ANOS CAPITAL, LLC | NO | NA | PDF|XML | |
| 2026 | Q2 | 4138 | AON SECURITIES LLC | YES - Disclosure | SIMPLEX TRADING, LLC | XML | |
| 2026 | Q2 | 282710 | ARKADIOS CAPITAL | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2026 | Q2 | 142374 | AVENTURA SECURITIES, LLC | NO | NA | PDF|XML | |
| 2026 | Q2 | 2543 | B. RILEY WEALTH MANAGEMENT | YES - Disclosure | SIMPLEX TRADING, LLC | XML | |
| 2026 | Q2 | 41533 | B.B. GRAHAM & COMPANY, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2026 | Q2 | 4038 | BALANCED SECURITY PLANNING, INC. | YES - Disclosure | SIMPLEX TRADING, LLC | XML | |
| 2026 | Q2 | 32754 | BEACONS STRATEGIC CAPITAL, INC. | NO | NA | PDF|XML | |
| 2026 | Q2 | 24771 | BEECH HILL SECURITIES, INC. | NO | NA | PDF|XML | |
| 2026 | Q2 | 2625 | BERNARD L. MADOFF INVESTMENT SECURITIES LLC | YES - Disclosure | SIMPLEX TRADING, LLC | XML | |
| 2026 | Q2 | 13609 | BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC. | NO | NA | PDF|XML | NFS |
| 2026 | Q2 | 315086 | BGV SECURITIES | NO | NA | PDF|XML | MPID |
| 2026 | Q2 | 6783 | BILL PARKER AGENCY | YES - Disclosure | SIMPLEX TRADING, LLC | XML | |
| 2026 | Q2 | 5896 | BIRKELBACH & CO. | YES - Disclosure | SIMPLEX TRADING, LLC | XML | |
| 2026 | Q2 | 44057 | BMO NESBITT BURNS SECURITIES LTD. | NO | NA | PDF|XML | |
| 2026 | Q2 | 17530 | BOK FINANCIAL SECURITIES, INC. | NO | NA | PDF|XML | |
| 2026 | Q2 | 2998 | BOSTON PARTNERS SECURITIES, L.L.C. | YES - Disclosure | SIMPLEX TRADING, LLC | XML | |
| 2026 | Q2 | 3875 | BRIGHTON SECURITIES CORP. | YES - Disclosure | SIMPLEX TRADING, LLC | XML | |
| 2026 | Q2 | 5049 | BROWN ASSOCIATES, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2026 | Q2 | 5049 | BROWN ASSOCIATES, INC. | YES - Disclosure | SIMPLEX TRADING, LLC | XML | |
| 2026 | Q2 | 1331 | BROWN, LISLE/CUMMINGS, INC. | NO | NA | PDF|XML | |
| 2026 | Q2 | 23407 | BUCKMAN, BUCKMAN & REID, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2026 | Q2 | 6183 | C. L. KING & ASSOCIATES, INC. | YES - Disclosure | SIMPLEX TRADING, LLC | XML | |
| 2026 | Q2 | 159712 | CABOT LODGE SECURITIES LLC | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2026 | Q2 | 10081 | CABRERA CAPITAL MARKETS, LLC | NO | NA | PDF|XML | |
| 2026 | Q2 | 7449 | CANACCORD GENUITY WEALTH MANAGEMENT (USA) INC. | YES - Disclosure | SIMPLEX TRADING, LLC | XML | |
| 2026 | Q2 | 7072 | CAPE SECURITIES INC. | YES - Disclosure | SIMPLEX TRADING, LLC | XML | |
| 2026 | Q2 | 7551 | CAPIS | YES - Disclosure | SIMPLEX TRADING, LLC | XML | |
| 2026 | Q2 | 6247 | CAPITAL CLIENT GROUP, INC. | YES - Disclosure | SIMPLEX TRADING, LLC | XML | |
| 2026 | Q2 | 148733 | CAPITAL SYNERGY PARTNERS | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2026 | Q2 | 16365 | CARTER, TERRY & COMPANY, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2026 | Q2 | 7001 | CARTY, HARDING & HEARN, INC. | YES - Disclosure | SIMPLEX TRADING, LLC | XML | |
| 2026 | Q2 | 35844 | CASCADE INVESTMENT GROUP, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2026 | Q2 | 6906 | CAVU SECURITIES LLC | YES - Disclosure | SIMPLEX TRADING, LLC | XML | |
| 2026 | Q2 | 7763 | CENTENNIAL SECURITIES COMPANY, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2026 | Q2 | 10299 | CETERA ADVISORS LLC | NO | NA | PDF|XML | |
| 2026 | Q2 | 10358 | CETERA FINANCIAL SPECIALISTS LLC | NO | NA | PDF|XML | |
| 2026 | Q2 | 15340 | CETERA INVESTMENT SERVICES LLC | NO | NA | PDF|XML | |
| 2026 | Q2 | 13572 | CETERA WEALTH SERVICES, LLC | NO | NA | PDF|XML | |
| 2026 | Q2 | 25427 | CFD INVESTMENTS, INC. | NO | NA | PDF|XML | |
| 2026 | Q2 | 155984 | CGIS SECURITIES LLC | NO | NA | PDF|XML | |
| 2026 | Q2 | 5393 | CHARLES SCHWAB & CO., INC. | YES - Disclosure | SIMPLEX TRADING, LLC | XML | |
| 2026 | Q2 | 128711 | CHICKASAW SECURITIES, LLC | NO | NA | PDF|XML | |
| 2026 | Q2 | 281102 | CITADEL SECURITIES INSTITUTIONAL LLC | NO | NA | PDF|XML | |
| 2026 | Q2 | 7059 | CITIGROUP GLOBAL MARKETS INC. | YES - Disclosure | SIMPLEX TRADING, LLC | XML |