SEC Order Disclosures
Invest with Integrity. Navigate with Transparency
Download Your SEC Rule 606 Compliance Reports Here
Explore our comprehensive disclosure on the routing of non-directed orders as required by SEC Rule 606. This section is dedicated to ensuring our clients and stakeholders are well-informed about our practices in order handling and execution. Our commitment to transparency allows you to understand how we optimize order execution to align with best interests, providing clarity on our operational integrity and adherence to regulatory standards.
3rd Quarter 2024
Rule 606 Order Disclosure
2nd Quarter 2024
Rule 606 Order Disclosure
1st Quarter 2024
Rule 606 Order Disclosure
4th Quarter 2023
Rule 606 Order Disclosure
3rd Quarter 2023
Rule 606 Order Disclosure
2nd Quarter 2023
Rule 606 Order Disclosure
1st Quarter 2023
Rule 606 Order Disclosure
4th Quarter 2022
Rule 606 Order Disclosure
3rd Quarter 2022
Rule 606 Order Disclosure
2nd Quarter 2022
Rule 606 Order Disclosure
1st Quarter 2022
Rule 606 Order Disclosure
4th Quarter 2021
Rule 606 Order Disclosure