SEC Rule 606 Reports

Member of the New York Stock Exchange, FINRA and SIPC

Securities and Exchange Commission Rule ("SEC") 606 requires broker dealers that route client orders in certain equity and option securities to make available to the public quarterly reports that represent a general overview of their routing practices.

Upon written request, Beacons Strategic Capital, working together with Optimal Applications, will provide the market center location to which your specific equity order was routed for execution, and/or a copy of their website information.

Quarterly reports

The most recent Rule 606 quarterly order-routing reports are available on request. To obtain a report for a specific quarter, contact our compliance team at email us or (212) 480-2640.

See also our Annual Client Disclosures and Rule 606A Reports.