Leaders in Trade Analytics and Compliance Solutions
SEC Rule 606 Reports

To view an XML or PDF 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.

2022

 

606(a)1 - 3rd Quarter - (xml)  (pdf)

606(a)1 - 2nd Quarter - (xml)  (pdf)

606(a)1 - 1st Quarter - (xml)  (pdf)

 

 

2021

 

606(a)1 - 4th Quarter - (xml)  (pdf)

606(a)1 - 3rd Quarter - (xml)  (pdf)

606(a)1 - 2nd Quarter - (xml)  (pdf)

606(a)1 - 1st Quarter - (xml)  (pdf)

 

 

2020

 

606(a)1 - 4th Quarter - (xml)  (pdf)

606(a)1 - 3rd Quarter - (xml)  (pdf)

606(a)1 - 2nd Quarter - (xml)  (pdf)

606(a)1 - 1st Quarter - (xml)  (pdf)

 

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Leaders in Trade Analytics and Compliance Solutions
SEC Rule 606 Reports
Leaders in Trade Analytics and Compliance Solutions
SEC Rule 606 Reports
Leaders in Trade Analytics and Compliance Solutions
SEC Rule 606 Reports