Leaders in Trade Analytics and Compliance Solutions
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

 

Q3 606(a)1 Report  (xml)  (pdf)

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.

 

 

 

 

 

Leaders in Trade Analytics and Compliance Solutions
SEC Rule 606 Reports
Leaders in Trade Analytics and Compliance Solutions
SEC Rule 606 Reports
Leaders in Trade Analytics and Compliance Solutions
SEC Rule 606 Reports