SEC Rule 605 and Rule 606 Public Report Library

SEC Rule 606 reports from Q2 2024 to present can also be accessed on the FINRA Public Portal

ReportPeriodTypeDisclosure
JULY 20267/1/2026 TO 7/31/2026R605Disclosure of SEC-Required Order Execution Information
2Q 2026 606a1 Held Compliance Report4/1/2026 to 6/30/2026606a1
JUNE 20266/1/2026 to 6/30/2026R605Disclosure of SEC-Required Order Execution Information
MAY 20265/1/2026 to 5/31/2026R605Disclosure of SEC-Required Order Execution Information
APRIL 20264/1/2026 to 4/30/2026R605Disclosure of SEC-Required Order Execution Information
1Q 2026 606a1 Held Compliance Report1/1/2026 to 3/31/2026606a1
MARCH 20263/1/2026 to 3/31/2026R605Disclosure of SEC-Required Order Execution Information
FEBRUARY 20262/1/2026 to 2/28/2026R605Disclosure of SEC-Required Order Execution Information
JANUARY 20261/1/2026 to 1/31/2026R605Disclosure of SEC-Required Order Execution Information
4Q 2025 606a1 Held Compliance Report10/1/2025 to 12/31/2025606a1
DECEMBER 202512/1/2025 to 12/31/2025R605Disclosure of SEC-Required Order Execution Information
NOVEMBER 202511/1/2025 to 11/30/2025R605Disclosure of SEC-Required Order Execution Information
OCTOBER 202510/1/2025 to 10/31/2025R605Disclosure of SEC-Required Order Execution Information
3Q 2025 606a1 Held Compliance Report7/1/2025 to 9/30/2025606a1
SEPTEMBER 20259/1/2025 to 9/30/2025R605Disclosure of SEC-Required Order Execution Information
AUGUST 20258/1/2025 to 8/31/2025R605Disclosure of SEC-Required Order Execution Information
JULY 20257/1/2025 to 7/31/2025R605Disclosure of SEC-Required Order Execution Information
2Q 2025 606a1 Held Compliance Report4/1/2025 to 6/30/2025606a1
JUNE 20256/1/2025 to 6/30/2025R605Disclosure of SEC-Required Order Execution Information
MAY 20255/1/2025 to 5/31/2025R605Disclosure of SEC-Required Order Execution Information
APRIL 20254/1/2025 to 4/30/2025R605Disclosure of SEC-Required Order Execution Information
1Q 2025 606a1 Held Compliance Report1/1/2025 to 3/31/2025606a1
MARCH 20253/1/2025 to 3/31/2025R605Disclosure of SEC-Required Order Execution Information
FEBRUARY 20252/1/2025 to 2/28/2025R605Disclosure of SEC-Required Order Execution Information
JANUARY 20251/1/2025 to 1/31/2025R605Disclosure of SEC-Required Order Execution Information
4Q 2024 606a1 Held Compliance Report10/1/2024 to 12/31/2024606a1
DECEMBER 202412/1/2024 to 12/31/2024R605Disclosure of SEC-Required Order Execution Information
NOVEMBER 202411/1/2024 to 11/30/2024R605Disclosure of SEC-Required Order Execution Information
OCTOBER 202410/1/2024 to 10/31/2024R605Disclosure of SEC-Required Order Execution Information
3Q 2024 606a1 Held Compliance Report7/1/2024 to 9/30/2024606a1
SEPTEMBER 20249/1/2024 to 9/30/2024R605Disclosure of SEC-Required Order Execution Information
AUGUST 20248/1/2024 to 8/31/2024R605Disclosure of SEC-Required Order Execution Information
JULY 20247/1/2024 to 7/31/2024R605Disclosure of SEC-Required Order Execution Information
2Q 2024 606a1 Held Compliance Report4/1/2024 to 6/30/2024606a1
JUNE 20246/1/2024 to 6/30/2024R605Disclosure of SEC-Required Order Execution Information
MAY 20245/1/2024 to 5/31/2024R605Disclosure of SEC-Required Order Execution Information
APRIL 20244/1/2024 to 4/30/2024R605Disclosure of SEC-Required Order Execution Information
1Q 2024 606a1 Held Compliance Report1/1/2024 to 3/31/2024606a1
MARCH 20243/1/2024 to 3/31/2024R605Disclosure of SEC-Required Order Execution Information
FEBRUARY 20242/1/2024 to 2/29/2024R605Disclosure of SEC-Required Order Execution Information
JANUARY 20241/1/2024 to 1/31/2024R605Disclosure of SEC-Required Order Execution Information
4Q 2023 606a1 Held Compliance Report10/1/2023 to 12/31/2023606a1
DECEMBER 202312/1/2023 to 12/31/2023R605Disclosure of SEC-Required Order Execution Information
NOVEMBER 202311/1/2023 to 11/30/2023R605Disclosure of SEC-Required Order Execution Information
OCTOBER 202310/1/2023 to 10/31/2023R605Disclosure of SEC-Required Order Execution Information
3Q 2023 606a1 Held Compliance Report7/1/2023 to 9/30/2023606a1
SEPTEMBER 20239/1/2023 to 9/30/2023R605Disclosure of SEC-Required Order Execution Information
AUGUST 20238/1/2023 to 8/31/2023R605Disclosure of SEC-Required Order Execution Information
JULY 20237/1/2023 to 7/31/2023R605Disclosure of SEC-Required Order Execution Information