SEC Rule 606

SEC Rule 606

SEC Rule 606 requires all broker-dealers that route orders in equity and option securities to make quarterly reports available that present a general overview of their routing practices for those two products.

sterlingtrader.com

Sterling Trader Reports

2020

606(a)1 – 2nd Quarter Report
606(a)1 – 1st Quarter Report

2019

4th Quarter 2019
3rd Quarter 2019
2nd Quarter 2019

Global Execution Brokers LP Reports

2nd Quarter 2020
1st Quarter 2020

SEC Rule 11Ac1-3 Disclosure

SEC Rule 11Ac1-3 Disclosure