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.



606(a)1 - 1st Quarter - (xml)  (pdf)





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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