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 | 205 | SANCTUARY SECURITIES, INC. | NO | NA | ||
| 2026 | Q2 | 41791 | SANTANDER SECURITIES LLC | NO | NA | PDF|XML | |
| 2026 | Q2 | 115547 | SAXONY SECURITIES, INC. | NO | NA | PDF|XML | |
| 2026 | Q2 | 2739 | SCOTIA CAPITAL (USA) INC. | YES - Disclosure | SIMPLEX TRADING, LLC | XML | |
| 2026 | Q2 | 759 | SECURITIES MANAGEMENT & RESEARCH, INC. | NO | NA | PDF|XML | |
| 2026 | Q2 | 6516 | SECURITIES RESEARCH, INC. OF FLORIDA | YES - Disclosure | SIMPLEX TRADING, LLC | XML | |
| 2026 | Q2 | 3336 | SECURITY DISTRIBUTORS | YES - Disclosure | SIMPLEX TRADING, LLC | XML | |
| 2026 | Q2 | 315218 | SEMINARIO SECURITIES | NO | NA | PDF|XML | MPID |
| 2026 | Q2 | 5069 | SENTRY EQUITY SERVICES, INC. | YES - Disclosure | SIMPLEX TRADING, LLC | XML | |
| 2026 | Q2 | 6564 | SF INVESTMENTS, INC. | YES - Disclosure | SIMPLEX TRADING, LLC | XML | |
| 2026 | Q2 | 7320 | SHEARMAN, RALSTON INC. | YES - Disclosure | SIMPLEX TRADING, LLC | XML | |
| 2026 | Q2 | 14303 | SIGMA FINANCIAL CORPORATION | NO | NA | PDF|XML | |
| 2026 | Q2 | 153585 | SIMPLEX TRADING, LLC | NO | NA | XML | |
| 2026 | Q2 | 28602 | SMBC NIKKO SECURITIES AMERICA, INC. | NO | NA | PDF|XML | |
| 2026 | Q2 | 3441 | SMITH, MOORE & CO. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2026 | Q2 | 3441 | SMITH, MOORE & CO. | YES - Disclosure | SIMPLEX TRADING, LLC | XML | |
| 2026 | Q2 | 6950 | SOUTHSTATE SECURITIES CORP. | YES - Disclosure | SIMPLEX TRADING, LLC | XML | |
| 2026 | Q2 | 35878 | SPROTT GLOBAL RESOURCE INVESTMENTS LTD | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2026 | Q2 | 3255 | ST. GERMAIN SECURITIES, INC. | YES - Disclosure | SIMPLEX TRADING, LLC | XML | |
| 2026 | Q2 | 43036 | STATE FARM VP MANAGEMENT CORP. | NO | NA | PDF|XML | |
| 2026 | Q2 | 3496 | STEPHENS | NO | NA | PDF|XML | |
| 2026 | Q2 | 3496 | STEPHENS | YES - Disclosure | SIMPLEX TRADING, LLC | XML | |
| 2026 | Q2 | 7155 | STERLING, GRACE MUNICIPAL SECURITIES CORPORATION | YES - Disclosure | SIMPLEX TRADING, LLC | XML | |
| 2026 | Q2 | 7031 | STOEVER, GLASS & COMPANY INC. | YES - Disclosure | SIMPLEX TRADING, LLC | XML | |
| 2026 | Q2 | 6376 | STONEGATE CAPITAL MARKETS, INC. | YES - Disclosure | SIMPLEX TRADING, LLC | XML | |
| 2026 | Q2 | 42180 | SUNBELT SECURITIES, INC. | NO | NA | PDF|XML | |
| 2026 | Q2 | 3538 | SUNSET FINANCIAL SERVICES, INC. | YES - Disclosure | SIMPLEX TRADING, LLC | XML | |
| 2026 | Q2 | 14023 | SYNOVUS SECURITIES, INC. | NO | NA | PDF|XML | |
| 2026 | Q2 | 8348 | T. ROWE PRICE INVESTMENT SERVICES, INC. | NO | NA | PDF|XML | |
| 2026 | Q2 | 313304 | TCBI SECURITIES, INC. | NO | NA | PDF|XML | |
| 2026 | Q2 | 5633 | TD AMERITRADE CLEARING, INC. | YES - Disclosure | SIMPLEX TRADING, LLC | XML | |
| 2026 | Q2 | 164484 | TD PRIVATE CLIENT WEALTH LLC | NO | NA | PDF|XML | |
| 2026 | Q2 | 7089 | THE FRAZER LANIER COMPANY, INCORPORATED | YES - Disclosure | SIMPLEX TRADING, LLC | XML | |
| 2026 | Q2 | 16986 | THE HUNTINGTON INVESTMENT COMPANY | NO | NA | PDF|XML | |
| 2026 | Q2 | 41282 | THE JEFFREY MATTHEWS FINANCIAL GROUP, L.L.C. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2026 | Q2 | 2936 | THE O.N. EQUITY SALES COMPANY | NO | NA | PDF|XML | |
| 2026 | Q2 | 2936 | THE O.N. EQUITY SALES COMPANY | YES - Disclosure | SIMPLEX TRADING, LLC | XML | |
| 2026 | Q2 | 42941 | THE OAK RIDGE FINANCIAL SERVICES GROUP, INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2026 | Q2 | 41353 | THOMPSON DAVIS & CO., INC. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2026 | Q2 | 3586 | THRASHER & CHAMBERS, INC. | YES - Disclosure | SIMPLEX TRADING, LLC | XML | |
| 2026 | Q2 | 18387 | THRIVENT INVESTMENT MANAGEMENT INC. | NO | NA | PDF|XML | |
| 2026 | Q2 | 20472 | TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC | NO | NA | PDF|XML | |
| 2026 | Q2 | 6845 | TIMECAPITAL SECURITIES CORPORATION | YES - Disclosure | SIMPLEX TRADING, LLC | XML | |
| 2026 | Q2 | 26001 | TOCQUEVILLE SECURITIES L.P. | NO | NA | PDF|XML | |
| 2026 | Q2 | 2762 | TP ICAP GLOBAL MARKETS AMERICAS LLC | YES - Disclosure | SIMPLEX TRADING, LLC | XML | |
| 2026 | Q2 | 130030 | TRADEMAS INC. | NO | NA | PDF|XML | |
| 2026 | Q2 | 128605 | TRADINGBLOCK | YES - Disclosure | DASH FINANCIAL TECHNOLOGIES LLC | PDF|XML | |
| 2026 | Q2 | 41258 | TRIDENT PARTNERS LTD. | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2026 | Q2 | 3618 | TRUBEE WEALTH ADVISORS, INC. | YES - Disclosure | SIMPLEX TRADING, LLC | XML | |
| 2026 | Q2 | 6271 | TRUIST SECURITIES, INC. | YES - Disclosure | SIMPLEX TRADING, LLC | XML | |
| 2026 | Q2 | 5251 | U. S. BOSTON CAPITAL CORPORATION | YES - Disclosure | SIMPLEX TRADING, LLC | XML | |
| 2026 | Q2 | 42854 | UHLMANN PRICE SECURITIES, LLC | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2026 | Q2 | 20804 | UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER | NO | NA | PDF|XML | |
| 2026 | Q2 | 5475 | USAA INVESTMENT SERVICES COMPANY | YES - Disclosure | SIMPLEX TRADING, LLC | XML | |
| 2026 | Q2 | 2655 | V. M. MANNING & CO., INC. | YES - Disclosure | SIMPLEX TRADING, LLC | XML | |
| 2026 | Q2 | 42803 | VALIC FINANCIAL ADVISORS, INC. | NO | NA | PDF|XML | INFO |
| 2026 | Q2 | 6914 | VAN CLEMENS & CO. INCORPORATED | YES - Disclosure | RBC CAPITAL MARKETS, LLC | PDF|XML | |
| 2026 | Q2 | 6914 | VAN CLEMENS & CO. INCORPORATED | YES - Disclosure | SIMPLEX TRADING, LLC | XML | |
| 2026 | Q2 | 5953 | VANDERBILT SECURITIES, LLC | YES - Disclosure | SIMPLEX TRADING, LLC | XML | |
| 2026 | Q2 | 7452 | VANGUARD MARKETING CORPORATION | YES - Disclosure | SIMPLEX TRADING, LLC | XML | |
| 2026 | Q2 | 5407 | VBC SECURITIES, LLC | YES - Disclosure | SIMPLEX TRADING, LLC | XML | |
| 2026 | Q2 | 2882 | VOYA FINANCIAL ADVISORS, INC. | YES - Disclosure | SIMPLEX TRADING, LLC | XML | |
| 2026 | Q2 | 3036 | VP DISTRIBUTORS LLC | YES - Disclosure | SIMPLEX TRADING, LLC | XML | |
| 2026 | Q2 | 3685 | WACHTEL & CO., INC. | YES - Disclosure | SIMPLEX TRADING, LLC | XML | |
| 2026 | Q2 | 150892 | WATERMILL INSTITUTIONAL TRADING LLC | NO | NA | PDF|XML | |
| 2026 | Q2 | 149021 | WELLINGTON SHIELDS & CO., LLC | NO | NA | XML | |
| 2026 | Q2 | 39914 | WESTPARK CAPITAL, INC. | NO | NA | PDF|XML | |
| 2026 | Q2 | 104123 | WHITE MOUNTAIN CAPITAL, LLC | NO | NA |