In November 2000, the Securities and Exchange Commission (SEC) adopted Exchange Act Rule 606 (formerly 11ac1-6), which requires broker-dealers that route customer orders in equities and option securities to publish quarterly reports that provide a general overview of their routing practices.  In this report, the venues to which non-directed customer orders were routed for execution must be disclosed, as well as the nature of any relationship the broker-dealer has with each venue.  Upon request, broker-dealers also must disclose to customers the venues to which their individual orders were routed. 

View GETRouted GES 606 Reports