606 Reports

SEC Rule 606 – 1Q2026 (Valid file)
SEC Rule 606 – 4Q2025 (Valid file)
SEC Rule 606 – 3Q2025 (Valid file)
SEC Rule 606 – 2Q2025 (Valid file)
SEC Rule 606 – 1Q2025 (Valid file)
SEC Rule 606 – 4Q2024 (Valid file)
SEC Rule 606 – 3Q2024 (Valid file)
SEC Rule 606 – 2Q2024 (Valid file)
SEC Rule 606 – 1Q2024 (Valid file)
SEC Rule 606 – 4Q2023 (Valid file)
SEC Rule 606 – 3Q2023 (Valid file)
SEC Rule 606 – 2Q2023 (Valid file)
SEC Rule 606 – 1Q2023 (Valid file)
SEC Rule 606 – 4Q2022 (Valid file)
SEC Rule 606 – 3Q2022 (Valid file)
SEC Rule 606 – 2Q2022 (Valid file)
SEC Rule 606 – 1Q2022 (Valid file)
SEC Rule 606 – 4Q2021 (Valid file)
SEC Rule 606 – 3Q2021 (Valid file)
SEC Rule 606 – 2Q2021 (Valid file)
SEC Rule 606 – 1Q2021 (Valid file)
SEC Rule 606 – 4Q2020 (Valid file)
SEC Rule 606 – 3Q2020 (Valid file)
SEC Rule 606 – 2Q2020 (Valid file)
SEC Rule 606 – 1Q2020 (Valid file)

Under SEC Rule 606(b)(1), customers can request specific order routing and execution information for the preceding six months. The information will include the identity of the venue where your orders were routed for execution, whether the orders were directed or non-directed, and if executed, the time of execution.

Under SEC Rule 606(b)(3), broker-dealers are required, upon request of a customer that places not-held orders, to provide specific disclosures regarding routing and execution of such orders for the prior six months.