SEC Rule 606 Reports

 

To view a PDF 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 - (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)

 

 

2019

 

606 4th Quarter Report

606 3rd Quarter Report

606 2nd Quarter Report

606 1st Quarter Report

 

 

2018

 

606 4th Quarter Report

606 3rd Quarter Report

606 2nd Quarter Report

606 1st Quarter Report

 

 

2017

 

606 4th Quarter Report

606 3rd Quarter Report

606 2nd Quarter Report

 

 

View Disclosure Statement >

 

 

 

(See 605 Reports)