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.

2020

 

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

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

606(a)1 - 1st Quarter Report  (xml)  (pdf)

 

 

* To view a list of all potential venues - click NSCC NPID Directory

 

 

2019

 

606 - 4th Quarter Report

606 - 3rd Quarter Report

 

 

 

 

For further information or prior quarterly reports, CLICK HERE.