SEC RULE 606

Rule Information

SEC Rule 606 (“Rule”) requires all broker-dealers that route orders in equity and option securities to make available quarterly reports that present a general overview of their routing practices. The reports must identify the significant venues to which customer orders were routed for execution during the applicable quarter and disclose the material aspects of the broker-dealer’s relationship with such venues. In addition, the Rule requires broker-dealers to disclose, on customer request, the venues to which the customer’s individual orders were routed.  Each customer may request a written copy of the report be mailed to them at no charge.

In addition, broker-dealers must respond to customer requests for individual information on customer orders that were routed for execution in the six months prior to the request, whether the orders were directed or non-directed, and the time of the transactions, if any, that resulted from such orders.

Click here to view SEC Rule 606 Reporting for:

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Click here to view SEC Rule 606 Reporting for:

Click here to view SEC Rule 606 Reporting for:

General statement on order flow, click here.

Click here to view SEC Rule 606 Reporting for:

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Cambria Capital has a secondary clearing arrangement with TradingBlock, member

FINRA/SIPC, who operates under a fully disclosed clearing relationship with Apex Clearing.

Cambria Capital, LLC.

 

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Regulation A+ offerings have two phases – a pre-qualification phase and a post-qualification phase. Qualification is the term used by the SEC to indicate that the offering has been reviewed by the SEC and securities may be sold. During the pre-qualification phase, you may reserve securities to be purchased at a later date. All reservations are non-binding. A company will only be able to make sales of securities to you after it has filed an offering statement with the SEC and the SEC has qualified the offering statement. The Information in that offering statement will be more complete than the information that the company is providing to you prior to qualification and it could differ in important ways. You must read the offering statement and documents filed with the SEC before investing in any of the companies listed on our website. Unless the offering statement has been qualified, no money or other consideration is being solicited, and if sent, will not be accepted. No sales will be made or commitments to purchase accepted until the offering statement is qualified. 

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Although the information provided to you on this site is obtained or compiled from sources we believe to be reliable, the content of this website is provided “as is" without warranty of any kind (either express or implied). 

Financial products listed on this website are only available to residents in the states where Cambria is registered. 

Neither the SEC nor any state regulator or other regulatory body has passed upon the merits of or given its approval to the securities, the terms of the offerings, or the accuracy or completeness of any offering materials or information posted on the site. 

Investments in Regulation A+ offerings are speculative and may involve a high degree of risk. Investors may receive illiquid stock that may have little to no secondary market. There can be no assurance the valuation is accurate or in line with the market or industry valuations. 

Securities sold through private placements are not publicly traded and are intended for investors who do not have a need for a liquid investment. Additionally, investors in private placements will receive restricted stock that will be subject to holding period requirements. 

 

Companies offering securities in Regulation A offerings and private placements tend to be in the earlier stages of development and have not yet been fully tested in the public marketplace. Investing in Regulation A+ offerings and private placements requires high risk tolerance, low liquidity concerns, and long-term commitments. Investors must be able to afford to lose their entire investment.