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 review current reports.

Click here to review historical reports.

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Click here to view SEC Rule 606 Reporting for:

General statement on order flow, click here.

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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.