Trade Disclosure Rule 606
In accordance with the Securities and Exchange Commission Disclosure Rule SEC Rule 605 and 606 (formerly 11Ac1-6 Order Disclosure), Dominari Securities Securities lists quarterly updates on Best Execution statistics.
RBC SEC Rule 606 Report
Pershing LLC SEC Rule 606 Report. Be sure to type in the words Fieldpoint Private Securities in the blank field in order to get the proper disclosures. Pershing LLC is a subsidiary of The Bank of New York Mellon Corporation.
TD Ameritrade Clearing SEC Rule 606 Report, Q1 2023 (PDF/XML), Q4 2022 (PDF/XML), Q3 2022 (PDF/XML), Q2 2022 (PDF/XML), Q1 2022 (PDF/XML), Q4 2021 (PDF/XML), Q3 2021 (PDF/XML), Q2 2021 (PDF/XML), Q1 2021 (PDF/XML), Q4 2020 (PDF/XML), Q3 2020 (PDF/XML), Q2 2020 (PDF/XML), Q1 2020 (PDF/XML).
Charles Schwab Custody SEC Rule 606 Report,
Q1 2024 (PDF).
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