Order Flow Practices and Disclosures – SEC Rules 606 and 607

DISCLOSURE DATE REPORT - PDF Format
REPORT - XML Format
2020      
SEC Rule 606 Report - Q2, 2020 April - June   View PDF Report XML
SEC Rule 606 Report - Q1, 2020 January - March   View PDF Report XML
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