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Order Flow Practices and Disclosures – SEC Rules 606 and 607

 

DISCLOSURE DATE REPORT – PDF Format
 REPORT – XML Format
2022      
SEC Rule 606 Report – Q1, 2022 January – March   View PDF Report  XML
SEC Rule 606 Report – Q2, 2022 April – June   View PDF Report  XML
SEC Rule 606 Report – Q3, 2022 July – September   View PDF Report  XML
SEC Rule 606 Report – Q4, 2022 October – December   View PDF Report  XML   
2021      
SEC Rule 606 Report – Q1, 2021 January – March   View PDF Report  XML
SEC Rule 606 Report – Q2, 2021 April – June   View PDF Report  XML
SEC Rule 606 Report – Q3, 2021 July – September   View PDF Report XML
SEC Rule 606 Report – Q4, 2021 October – December   View PDF Report XML
2020      
SEC Rule 606 Report – Q1, 2020 January – March   View PDF Report
SEC Rule 606 Report – Q2, 2020 April – June   View PDF Report  XML
SEC Rule 606 Report – Q3, 2020 July – September   View PDF Report
SEC Rule 606 Report – Q4, 2020 October – December   View PDF Report
2019      
SEC Rule 606 Report – Q1, 2019
 January – March   View PDF Report
SEC Rule 606 Report – Q2, 2019
 April – June   View PDF Report
SEC Rule 606 Report – Q3, 2019
 July – September   View PDF Report
SEC Rule 606 Report – Q4, 2019
 October – December   View PDF Report
2018      
SEC Rule 606 Report – Q1, 2018 January – March   View PDF Report
SEC Rule 606 Report – Q2, 2018 April – June   View PDF Report
SEC Rule 606 Report – Q3, 2018 July – September   View PDF Report
SEC Rule 606 Report – Q4, 2018 October – December   View PDF Report
2017      
SEC Rule 606 Report – Q1, 2017 January – March   View PDF Report
SEC Rule 606 Report – Q2, 2017 April – June   View PDF Report
SEC Rule 606 Report – Q3, 2017 July – September   View PDF Report
SEC Rule 606 Report – Q4, 2017 October – December   View PDF Report
2016      
SEC Rule 606 Report – Q1, 2016 January – March   View PDF Report
SEC Rule 606 Report – Q2, 2016 April – June   View PDF Report
SEC Rule 606 Report – Q3, 2016 July – September   View PDF Report
SEC Rule 606 Report – Q4, 2016 October – December   View PDF Report