SEC Rule 605/606

To view the SEC Rule 605 and 606 Reports prior to June 2022, click here.

To view the SEC Rule 605 Reports after June 2022, click here.

To view the SEC Rule 606(a) Reports, click here.

 

Beginning January 2020, SEC RULE 606(B)(3). BTIG, upon request of its customer, will provide specific disclosures related to the routing and execution of the customer’s NMS stock orders submitted on a not held basis for the prior six months.

Request can be made to [email protected] or via your Registered Representative.