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.
| Submit Date | Report URL | Comments |
|---|---|---|
| 12-14-2022 | https://public.s3.com/rule605/vndm | WABR generally does not receive covered orders. Any covered orders received are noted in combined 605 reports for VNDM and WABR in the link above. Historical Reports (From August 2019 to March 2020): https://wsaccess.com/605-prior-to-april-2020/ |
| Submit Date | Report URL | Comments |
|---|---|---|
| 09-08-2022 | https://public.s3.com/rule605/vndm/ | 605 Reports from August 2019 to March 2020 : https://wsaccess.com/605-prior-to-april-2020/     |
| Submit Date | Report URL | Comments |
|---|---|---|
| 12-14-2022 | https://www.virtu.com/about/transparency/rule-605-and-606-reporting/ |
| Submit Date | Report URL | Comments |
|---|---|---|
| 07-18-2019 | https://www.virtu.com/about/transparency/rule-605-and-606-reporting/ | Previously www.kcg.com/access-performance/execution-quality. Edited on 7/18/19. |
| Submit Date | Report URL | Comments |
|---|---|---|
| 08-01-2019 | https://public.s3.com/rule605/ubss | Prior to 7/31/19 reports found: www.ubs.com/sec_reports |
| Submit Date | Report URL | Comments |
|---|---|---|
| 08-01-2019 | https://public.s3.com/rule605/ubsa | Prior to 7/31/19, reports found: https://vrs.vista-one-solutions.com/sec605rule.aspx |
| Submit Date | Report URL | Comments |
|---|---|---|
| 12-13-2023 | https://public.s3.com/rule605/soho/ | For 605 reports prior to Sept 2023: https://www.twosigma.com/businesses/securities/tss-disclosures/ execution-quality-statistics-including-rule-605-statements  |
| Submit Date | Report URL | Comments |
|---|---|---|
| 05-13-2022 | http://vrs.vista-one-solutions.com/sec605rule.aspx |
| Submit Date | Report URL | Comments |
|---|---|---|
| 08-02-2022 | http://disclosures.bxstech.com/vert/605/ |
| Submit Date | Report URL | Comments |
|---|---|---|
| 09-01-2022 | https://www.sig.com/disclosures/sfg-sec-rule-605-report/ |