Leaders in Trade Analytics and Compliance Solutions
Regulation NMS – SEC Rule 606-Disclosure of SEC-Required Held Order Routing Information
Paulson Investment Company, LLC
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.
2023
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)
2022
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)
2021
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)
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
For prior quarterly reports, CLICK HERE.