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 (Part 1)  (xml)  (pdf)
606(a)1 - 3rd Quarter Report (Part 2)  (xml)  (pdf)


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


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





For prior quarterly reports, CLICK HERE.




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