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.
606(a)1 - 3rd Quarter - No Covered Orders
606(a)1 - 2nd Quarter - No Covered Orders
* To view a list of all potential venues - click NSCC NPID Directory
For further information or prior quarterly reports, CLICK HERE.