Which market venues does Firstrade route orders to?

SEC Rule 606(a)

SEC Rule 606(a) requires all brokerage firms to make publicly available quarterly reports, broken down by calendar month, containing certain required statistical information regarding the routing of held, non-directed customer orders in Regulation NMS stocks, as well as both held and not held, non-directed customer orders in listed options with a market value of less than $50,000. Firstrade Securities Inc. (“Firstrade”) is publishing such quarterly report in accordance with Rule 606(a) and will keep the report publicly available for a period of three (3) years.

The report contains a section for Regulation NMS stocks (separated by securities that are included in the S&P 500 Index as of the first day of the quarter and other Non-S&P 500 stocks) and a separate section for listed options. For each section, the report identifies the venues to which Firstrade routed the relevant orders and, for each venue, the required statistical information broken down by order type (i.e., market order, marketable limit order, non-marketable limit order and other orders). Each section of the report also contains information regarding the material aspects of Firstrade’s relationship with each venue.

Disclosure of Payment for Order Flow and Order Routing Information

SEC Rule 606(a) & 607 Disclosure

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