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.

2022

 

Q2 606(a)1 Report - (xml)  (pdf)

Q1 606(a)1 Report - (xml)  (pdf)

 

 

2021

 

Q4 606(a)1Report - (xml)  (pdf)

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 SEC Rule 606 reports from a prior provider, CLICK HERE.