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 | 132187 | GRIFFINEST ASIA SECURITIES, LLC | NO | NA | PDF|XML | |
| 2026 | Q2 | 128929 | GWN SECURITIES INC. | NO | NA | ||
| 2026 | Q2 | 375 | H.C.WAINWRIGHT & CO., LLC | NO | NA | PDF|XML | |
| 2026 | Q2 | 7169 | H2C SECURITIES INC. | YES - Disclosure | SIMPLEX TRADING, LLC | XML | |
| 2026 | Q2 | 19258 | HARBOUR INVESTMENTS, INC. | NO | NA | ||
| 2026 | Q2 | 6959 | HARRIS ASSOCIATES SECURITIES L.P. | YES - Disclosure | SIMPLEX TRADING, LLC | XML | |
| 2026 | Q2 | 7117 | HARTFIELD, TITUS & DONNELLY, LLC | YES - Disclosure | SIMPLEX TRADING, LLC | XML | |
| 2026 | Q2 | 6220 | HILLTOP SECURITIES INC. | YES - Disclosure | SIMPLEX TRADING, LLC | XML | |
| 2026 | Q2 | 6004 | HORANG SECURITIES, LLC | YES - Disclosure | SIMPLEX TRADING, LLC | XML | |
| 2026 | Q2 | 25425 | HOVDE GROUP, LLC | NO | NA | ||
| 2026 | Q2 | 298809 | HUATAI SECURITIES (USA), INC. | NO | NA | PDF|XML | |
| 2026 | Q2 | 30177 | HUNTER ASSOCIATES LLC | NO | NA | PDF|XML | |
| 2026 | Q2 | 7456 | HUNTLEIGH SECURITIES CORPORATION | YES - Disclosure | SIMPLEX TRADING, LLC | XML | |
| 2026 | Q2 | 4029 | ICON CAPITAL GROUP, LLC | YES - Disclosure | SIMPLEX TRADING, LLC | XML | |
| 2026 | Q2 | 106032 | IDB CAPITAL CORP. | NO | NA | PDF|XML | |
| 2026 | Q2 | 327903 | IFAST SECURITIES US CORPORATION | NO | NA | PDF|XML | |
| 2026 | Q2 | 144302 | INFINITY FINANCIAL SERVICES | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2026 | Q2 | 5611 | INSIGHT SECURITIES, INC. | YES - Disclosure | SIMPLEX TRADING, LLC | XML | |
| 2026 | Q2 | 29249 | INSIGNEO SECURITIES, LLC | NO | NA | PDF|XML | |
| 2026 | Q2 | 10645 | INTERNATIONAL ASSETS ADVISORY, LLC | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2026 | Q2 | 6939 | INVESCO CAPITAL MARKETS, INC. | NO | NA | ||
| 2026 | Q2 | 6939 | INVESCO CAPITAL MARKETS, INC. | YES - Disclosure | SIMPLEX TRADING, LLC | XML | |
| 2026 | Q2 | 7369 | INVESCO DISTRIBUTORS, INC. | YES - Disclosure | SIMPLEX TRADING, LLC | XML | |
| 2026 | Q2 | 7413 | ISAAK BOND INVESTMENTS, INC. | YES - Disclosure | SIMPLEX TRADING, LLC | XML | |
| 2026 | Q2 | 118817 | ITAU BBA USA SECURITIES, INC. | NO | NA | ||
| 2026 | Q2 | 3526 | J. STREICHER & CO. L.L.C. | YES - Disclosure | SIMPLEX TRADING, LLC | XML | |
| 2026 | Q2 | 3998 | JACK V. BUTTERFIELD INVESTMENT COMPANY | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2026 | Q2 | 3998 | JACK V. BUTTERFIELD INVESTMENT COMPANY | YES - Disclosure | SIMPLEX TRADING, LLC | XML | |
| 2026 | Q2 | 463 | JANNEY MONTGOMERY SCOTT LLC | NO | NA | PDF|XML | |
| 2026 | Q2 | 7170 | JOE JOLLY & CO., INC. | YES - Disclosure | SIMPLEX TRADING, LLC | XML | |
| 2026 | Q2 | 5249 | JOHN HANCOCK DISTRIBUTORS LLC | YES - Disclosure | SIMPLEX TRADING, LLC | XML | |
| 2026 | Q2 | 6888 | JONESTRADING | YES - Disclosure | SIMPLEX TRADING, LLC | XML | |
| 2026 | Q2 | 24795 | JOSEPH GUNNAR & CO. LLC | YES | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2026 | Q2 | 24795 | JOSEPH GUNNAR & CO. LLC | NO | NA | ||
| 2026 | Q2 | 6769 | KEEL POINT CAPITAL, LLC | YES - Disclosure | SIMPLEX TRADING, LLC | XML | |
| 2026 | Q2 | 42046 | KESTRA INVESTMENT SERVICES, LLC | NO | NA | PDF|XML | |
| 2026 | Q2 | 136300 | KEY INVESTMENT SERVICES LLC | NO | NA | PDF|XML | |
| 2026 | Q2 | 566 | KEYBANC CAPITAL MARKETS INC. | NO | NA | PDF|XML | |
| 2026 | Q2 | 288898 | KINGSWOOD CAPITAL PARTNERS, LLC | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2026 | Q2 | 104158 | KOREA INVESTMENT & SECURITIES AMERICA, INC. | NO | NA | PDF|XML | |
| 2026 | Q2 | 6759 | KRAMBO CORPORTION | YES - Disclosure | SIMPLEX TRADING, LLC | XML | |
| 2026 | Q2 | 6506 | KUYKENDALL & SCHNEIDER, INC. | YES - Disclosure | SIMPLEX TRADING, LLC | XML | |
| 2026 | Q2 | 7306 | L. B. FISHER & COMPANY | YES - Disclosure | SIMPLEX TRADING, LLC | XML | |
| 2026 | Q2 | 27913 | L.M. KOHN & COMPANY | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2026 | Q2 | 43706 | LAMPOST CAPITAL, L.C. | NO | NA | PDF|XML | |
| 2026 | Q2 | 28352 | LANDOLT SECURITIES, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2026 | Q2 | 152424 | LARRAINVIAL SECURITIES US LLC | NO | NA | ||
| 2026 | Q2 | 7191 | LASALLE ST SECURITIES, L.L.C. | NO | NA | PDF|XML | |
| 2026 | Q2 | 7191 | LASALLE ST SECURITIES, L.L.C. | YES - Disclosure | SIMPLEX TRADING, LLC | XML | |
| 2026 | Q2 | 2528 | LAZARD FRERES & CO. LLC | YES - Disclosure | SIMPLEX TRADING, LLC | XML | |
| 2026 | Q2 | 18234 | LEMLEY, YARLING & CO. | YES | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2026 | Q2 | 43098 | LOOP CAPITAL MARKETS LLC | NO | NA | PDF|XML | |
| 2026 | Q2 | 6413 | LPL FINANCIAL LLC | YES - Disclosure | SIMPLEX TRADING, LLC | XML | |
| 2026 | Q2 | 17358 | M&T SECURITIES, INC. | NO | NA | PDF|XML | |
| 2026 | Q2 | 104100 | M. S. HOWELLS & CO. | NO | NA | PDF|XML | |
| 2026 | Q2 | 36368 | MACQUARIE CAPITAL (USA) INC. | NO | NA | PDF|XML | |
| 2026 | Q2 | 285406 | MADISON GLOBAL PARTNERS LLC | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2026 | Q2 | 2903 | MARTIN NELSON & CO., INC. | YES - Disclosure | SIMPLEX TRADING, LLC | XML | |
| 2026 | Q2 | 6237 | MAYHILL AGENCY, LLC | YES - Disclosure | SIMPLEX TRADING, LLC | XML | |
| 2026 | Q2 | 135414 | MCDONALD PARTNERS LLC | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2026 | Q2 | 140988 | MD GLOBAL PARTNERS, LLC | YES | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2026 | Q2 | 143189 | MEDIOBANCA SECURITIES USA LLC | NO | NA | PDF|XML | |
| 2026 | Q2 | 2535 | MHL INVESTMENTS | YES - Disclosure | SIMPLEX TRADING, LLC | XML | |
| 2026 | Q2 | 21544 | MIDDLEGATE SECURITIES INC. | NO | NA | PDF|XML | |
| 2026 | Q2 | 146193 | MIURA CAPITAL, LLC | NO | NA | ||
| 2026 | Q2 | 2509 | MM GLOBAL SECURITIES, INC. | YES - Disclosure | SIMPLEX TRADING, LLC | XML | |
| 2026 | Q2 | 38535 | MOLONEY SECURITIES CO., INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2026 | Q2 | 309574 | MONDEUM CAPITAL | NO | NA |