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 | 309574 | MONDEUM CAPITAL | NO | NA | XML | |
| 2026 | Q2 | 30362 | MONEX SECURITIES, INC. | NO | NA | PDF|XML | |
| 2026 | Q2 | 7424 | MONNESS CRESPI HARDT & CO., INC. | YES - Disclosure | SIMPLEX TRADING, LLC | XML | |
| 2026 | Q2 | 2811 | MONROE FINANCIAL PARTNERS, INC. | YES - Disclosure | SIMPLEX TRADING, LLC | XML | |
| 2026 | Q2 | 594 | MOORS & CABOT, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2026 | Q2 | 44807 | MORGAN WILSHIRE SECURITIES, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2026 | Q2 | 154327 | MSEC, LLC | NO | NA | PDF|XML | |
| 2026 | Q2 | 5376 | MURIEL SIEBERT & CO., LLC | YES - Disclosure | SIMPLEX TRADING, LLC | XML | |
| 2026 | Q2 | 2856 | MUTUAL FUNDS ASSOCIATES INC. | YES - Disclosure | SIMPLEX TRADING, LLC | XML | |
| 2026 | Q2 | 13092 | MUTUAL SECURITIES, INC. | NO | NA | PDF|XML | |
| 2026 | Q2 | 112630 | MWA FINANCIAL SERVICES INC. | NO | NA | PDF|XML | |
| 2026 | Q2 | 5361 | N.I.S. FINANCIAL SERVICES, INC. | YES - Disclosure | SIMPLEX TRADING, LLC | XML | |
| 2026 | Q2 | 7270 | NASDAQ EXECUTION SERVICES, LLC | YES - Disclosure | SIMPLEX TRADING, LLC | XML | |
| 2026 | Q2 | 39455 | NATALLIANCE SECURITIES, LLC | NO | NA | PDF|XML | |
| 2026 | Q2 | 7110 | NATIONWIDE INVESTMENT SERVICES CORPORATION | YES - Disclosure | SIMPLEX TRADING, LLC | XML | |
| 2026 | Q2 | 31029 | NATIONWIDE PLANNING ASSOCIATES INC. | NO | NA | ||
| 2026 | Q2 | 17870 | NBC SECURITIES, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2026 | Q2 | 16360 | NEEDHAM & COMPANY, LLC | NO | NA | XML | |
| 2026 | Q2 | 3002 | NELSON IVEST BROKERAGE SERVICES, INC. | YES - Disclosure | SIMPLEX TRADING, LLC | XML | |
| 2026 | Q2 | 2907 | NESTLERODE & LOY, INC. | YES - Disclosure | SIMPLEX TRADING, LLC | XML | |
| 2026 | Q2 | 2908 | NEUBERGER BERMAN BD LLC | YES - Disclosure | SIMPLEX TRADING, LLC | XML | |
| 2026 | Q2 | 15768 | NOBLE CAPITAL MARKETS, INC. | NO | NA | PDF|XML | |
| 2026 | Q2 | 4297 | NOMURA SECURITIES INTERNATIONAL, INC. | YES - Disclosure | SIMPLEX TRADING, LLC | XML | |
| 2026 | Q2 | 2881 | NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC | YES - Disclosure | SIMPLEX TRADING, LLC | XML | |
| 2026 | Q2 | 5167 | NYLIFE SECURITIES LLC | NO | NA | PDF|XML | |
| 2026 | Q2 | 5167 | NYLIFE SECURITIES LLC | YES - Disclosure | SIMPLEX TRADING, LLC | XML | |
| 2026 | Q2 | 5120 | O'TOOLE INSURANCE & SECURITIES | YES - Disclosure | SIMPLEX TRADING, LLC | XML | |
| 2026 | Q2 | 21000 | OAKWOOD CAPITAL SECURITIES, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2026 | Q2 | 42060 | OBERWEIS SECURITIES, INC. | NO | NA | PDF|XML | |
| 2026 | Q2 | 7360 | OLD SLIP CAPITAL MANAGEMENT, INC. | YES - Disclosure | SIMPLEX TRADING, LLC | XML | |
| 2026 | Q2 | 7164 | OMEGA SECURITIES, INC. | YES - Disclosure | SIMPLEX TRADING, LLC | XML | |
| 2026 | Q2 | 4173 | ONEAMERICA SECURITIES, INC. | YES - Disclosure | SIMPLEX TRADING, LLC | XML | |
| 2026 | Q2 | 29753 | ORIENTAL FINANCIAL SERVICES LLC | NO | NA | PDF|XML | |
| 2026 | Q2 | 3978 | OSAIC FA, INC. | YES - Disclosure | SIMPLEX TRADING, LLC | XML | |
| 2026 | Q2 | 3870 | OSAIC FS, INC. | YES - Disclosure | SIMPLEX TRADING, LLC | XML | |
| 2026 | Q2 | 35371 | OSAIC INSTITUTIONS, INC. | NO | NA | PDF|XML | |
| 2026 | Q2 | 23131 | OSAIC WEALTH, INC. | NO | NA | PDF|XML | |
| 2026 | Q2 | 281065 | OUTSET GLOBAL TRADING LIMITED | NO | NA | XML | |
| 2026 | Q2 | 4452 | PACIFIC SELECT DISTRIBUTORS, LLC | YES - Disclosure | SIMPLEX TRADING, LLC | XML | |
| 2026 | Q2 | 7518 | PACTOLUS CAPITAL PARTNERS | YES - Disclosure | SIMPLEX TRADING, LLC | XML | |
| 2026 | Q2 | 134657 | PAR5 CAPITAL & CO LLC | NO | NA | PDF|XML | |
| 2026 | Q2 | 115368 | PARKLAND SECURITIES, LLC | NO | NA | PDF|XML | |
| 2026 | Q2 | 5670 | PAULSON INVESTMENT COMPANY LLC | YES - Disclosure | SIMPLEX TRADING, LLC | XML | |
| 2026 | Q2 | 7560 | PERSHING LLC | YES | SIMPLEX TRADING, LLC | XML | |
| 2026 | Q2 | 104387 | PGM GLOBAL INC. | NO | NA | PDF|XML | |
| 2026 | Q2 | 5967 | PINEBRIDGE SECURITIES LLC | YES - Disclosure | SIMPLEX TRADING, LLC | XML | |
| 2026 | Q2 | 11869 | PLANMEMBER SECURITIES CORPORATION | NO | NA | PDF|XML | |
| 2026 | Q2 | 3049 | PLANNED FINANCIAL PROGRAMS, INC. | YES - Disclosure | SIMPLEX TRADING, LLC | XML | |
| 2026 | Q2 | 38901 | PLP CAPITAL | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2026 | Q2 | 8096 | POPULAR SECURITIES, LLC | NO | NA | PDF|XML | |
| 2026 | Q2 | 5685 | PRUCO SECURITIES, LLC. | YES - Disclosure | SIMPLEX TRADING, LLC | XML | |
| 2026 | Q2 | 304587 | PUENTE SERVICIOS FINANCIEROS LLC | NO | NA | PDF|XML | |
| 2026 | Q2 | 35747 | PURSHE KAPLAN STERLING INVESTMENTS | NO | NA | PDF|XML | |
| 2026 | Q2 | 7325 | PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP | YES - Disclosure | SIMPLEX TRADING, LLC | XML | |
| 2026 | Q2 | 3110 | PYRAMID FUNDS CORPORATION | YES - Disclosure | SIMPLEX TRADING, LLC | XML | |
| 2026 | Q2 | 25853 | RAYMOND JAMES (USA) LTD. | NO | NA | PDF|XML | |
| 2026 | Q2 | 6694 | RAYMOND JAMES FINANCIAL SERVICES, INC. | YES - Disclosure | SIMPLEX TRADING, LLC | XML | |
| 2026 | Q2 | 31194 | RBC CAPITAL MARKETS, LLC | NO | NA | PDF|XML | |
| 2026 | Q2 | 7297 | REGAL SECURITIES, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2026 | Q2 | 7297 | REGAL SECURITIES, INC. | YES - Disclosure | SIMPLEX TRADING, LLC | XML | |
| 2026 | Q2 | 21606 | RICE FINANCIAL PRODUCTS COMPANY | NO | NA | ||
| 2026 | Q2 | 30812 | RIEDL FIRST SECURITIES COMPANY OF KANSAS | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2026 | Q2 | 19456 | ROBERTS & RYAN, INC. | NO | NA | ||
| 2026 | Q2 | 13251 | ROBOTTI SECURITIES, LLC | NO | NA | ||
| 2026 | Q2 | 3215 | ROMANO BROTHERS AND COMPANY | YES - Disclosure | SIMPLEX TRADING, LLC | XML | |
| 2026 | Q2 | 6964 | ROOSEVELT & CROSS, INCORPORATED | YES - Disclosure | SIMPLEX TRADING, LLC | XML | |
| 2026 | Q2 | 140564 | ROTHSCHILD & CO REDBURN | NO | NA | XML | |
| 2026 | Q2 | 2910 | ROTHSCHILD & CO US INC. | YES - Disclosure | SIMPLEX TRADING, LLC | XML | |
| 2026 | Q2 | 3254 | SAGE, RUTTY & CO., INC. | YES - Disclosure | SIMPLEX TRADING, LLC | XML | |
| 2026 | Q2 | 6963 | SAMUEL A. RAMIREZ & COMPANY, INC. | YES - Disclosure | SIMPLEX TRADING, LLC | XML | |
| 2026 | Q2 | 290605 | SAN BLAS SECURITIES LLC | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2026 | Q2 | 205 | SANCTUARY SECURITIES, INC. | NO | NA | XML |