Disclosure of SEC Required Order Execution and Order Routing Information
Under SEC Rule 606(a), broker-dealers that route equity and option orders on behalf of customers are required to prepare quarterly reports that disclose specific information about their order routing practices for non-directed1 orders in NMS stocks and option contracts in NMS securities.
Ventum Financial (US) Corp. – Quarterly Reports
- 2020 Q1 PDF
- 2020 Q1 XML
- 2020 Q2 PDF
- 2020 Q2 XML
- 2020 Q3 PDF
- 2020 Q3 XML
- 2020 Q4 PDF
- 2020 Q4 XML
- 2021 Q1 PDF
- 2021 Q1 XML
- 2021 Q2 PDF
- 2021 Q2 XML
- 2021 Q3 PDF
- 2021 Q3 XML
- 2021 Q4 PDF
- 2021 Q4 XML
- 2022 Q1 PDF
- 2022 Q1 XML
- 2022 Q2 PDF
- 2022 Q2 XML
- 2022 Q3 PDF
- 2022 Q3 XML
- 2022 Q4 PDF
- 2022 Q4 XML
- 2023 Q1 PDF
- 2023 Q1 XML
- 2023 Q2 PDF
- 2023 Q2 XML
- 2023 Q3 PDF
- 2023 Q3 XML
- 2023 Q4 PDF
- 2023 Q4 XML
- 2024 Q1 PDF
- 2024 Q1 XML
- 2024 Q2 PDF
- 2024 Q2 XML
- 2024 Q3 PDF
- 2024 Q3 XML
- 2024 Q4 PDF
- 2024 Q4 XML
Disclosure of SEC Required Order Execution and Order Routing Information
Under SEC Rule 606(a), broker-dealers that route equity and option orders on behalf of customers are required to prepare quarterly reports that disclose specific information about their order routing practices for non-directed1 orders in NMS stocks and option contracts in NMS securities.