SEC Rule 606 Reports

To view a PDF (2019 and prior) or XML (2020) of a quarterly 606 Report, click on the corresponding orange link below.  For more information, see the 2020 Order Handling Data Schema and Report Renderer for Broker-Dealers.

2021

 

606(a)1 - 3rd Quarter Report - (xml)  (pdf)

606(a)1 - 2nd Quarter Report  (xml)  (pdf)

606(a)1 - 1st Quarter Report  (xml)  (pdf)

 

 

2020

 

606(a)1 - 4th Quarter Report  (xml)  (pdf)
606(a)1 - 3rd Quarter Report  (
xml)  (pdf)

606(a)1 - 2nd Quarter Report  (xml)  (pdf)

606(a)1 - 1st Quarter Report  (xml)  (pdf)

 

 

2019

 

606 - 4th Quarter Report

 

 

 

 

 

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