SEC Rule 606A Reports

Member of the New York Stock Exchange, FINRA and SIPC

SEC Rule 606(a) requires broker dealers to make publicly available quarterly reports describing the routing of non-directed customer orders in NMS stocks and listed options, including the venues to which orders were routed and the nature of any payment-for-order-flow or profit-sharing relationships.

Beacons Strategic Capital makes its Rule 606(a) quarterly reports available to the public, prepared together with Optimal Applications.

Quarterly reports

The most recent Rule 606(a) 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 606 Reports.