SEC Rule 606 Reports

To view an XML or PDF 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

 

Q3 606(a)1 Report - (xml)  (pdf)

Q2 606(a)1 Report - (xml)  (pdf)

Q1 606(a)1 Report - (xml)  (pdf)

 

 

2020

 

Q4 606(a)1 Report - (xml)  (pdf)
Q3 606(a)1 Report - (xml)  (pdf)

 

 

 

For previous PSI SEC Rule 606 reports, CLICK HERE.