Leaders in Trade Analytics and Compliance Solutions
SEC Rule 606 Reports

To view an XML 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 - No Covered Orders

606(a)1 - 2nd Quarter - No Covered Orders

606(a)1 - 1st Quarter - No Covered Orders

 

2021

 

606(a)1 - 4th Quarter - No Covered Orders

606(a)1 - 3rd Quarter - No Covered Orders

606(a)1 - 2nd Quarter - No Covered Orders

606(a)1 - 1st Quarter - No Covered Orders

 

2020

 

606(a)1 - 4th Quarter Report - (xml) (pdf)
606(a)1 - 3rd Quarter Report - (
xml) (pdf)
606(a)1 - 2nd Quarter - No Covered Orders

606(a)1 - 1st Quarter - No Covered Orders

 

 

 

 

For prior quarterly reports, CLICK HERE.

 

 

(See 605 Reports)

 

 

LEARN MORE about Guggenheim Securities, LLC.

 

 

 

 

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