Leaders in Trade Analytics and Compliance Solutions
SEC Rule 606 Reports
Wellington Shields & Co. LLC
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
Q4 606(a)1Report - (xml) (pdf)
Q2 606(a)1 Report - (xml) (pdf)
Q1 606(a)1 Report - (xml) (pdf)
2021
Q4 606(a)1Report - (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.