SEC Rule 606

To view the SEC Rule 606 Reports, 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.