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.



606(a)1 - 3rd Quarter Report  (xml)  (pdf)

606(a)1 - 2nd Quarter Report  (xml)  (pdf)

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




For prior quarterly reports and disclosure information, CLICK HERE.