SEC Rule 606 Disclosure of Order Routing Information
The U.S. Securities and Exchange Commission's (SEC) client disclosure rule, SEC Rule 606, requires a broker-dealer that routes orders on behalf of customers to prepare quarterly reports that disclose the identity of the venues to which it routed orders for execution. Broker-dealers are required to disclose, on customer request, where they routed a customer's individual orders for execution.
To review Scottrade’s Order Routing Information, compiled by quarter, please click on the button below.
Also, please note that that SEC Rule 606 Report linked to above does not apply to OptionsFirst . For OptionsFirst statistics and other smart order routing information, please click on the button below.