Rule 606 Statement

The Securities and Exchange Commission adopted Rule 11Ac1-6 (now known as Rule 606 of Regulation NMS) to improve public disclosure of order routing practices. Under Rule 606, broker-dealers that route customer orders in equities and option securities are required to publish quarterly reports that provide a general overview of their routing practices.

Please click the links below for our quarterly Rule 606 statistics.

Q1 2020 – VNDM (PDF)

Q1 2020 – VNDM (XML)

Q1 2020 – WABR (PDF)

Q1 2020 – WABR (XML)