SEC-Required Report on Routing of Customer Orders
The U.S. Securities and Exchange Commission’s client disclosure rule, Rule 606, requires all broker-dealers that route orders in equity and options securities to make available quarterly reports that present a general overview of their routing practices. The reports must identify the significant venues to which the client orders were routed for execution during the applicable quarter and disclose the material aspects of the broker-dealer’s relationship with such venues.
Orders routed by JHD Darbie & Co., Inc. can be found here**.
Orders routed & executed by our Clearing firm - AXOS Clearing LLC can be found here.
Orders routed & executed by our Clearing firm - Vision Financial Markets LLC can be found here.