Compliance

SEC Rule 606: Disclosure of Order Routing Information

In order to comply with U.S. Securities and Exchange Commission (SEC) Rule 606, Stuart Frankel & Co. Inc. will publish information on a quarterly basis outlining our routing practices for non-directed orders in U.S. exchange-listed equity securities and options.

Year/Quarter

PDF

XML

2024 Q3

No Covered Orders

2024 Q2

No Covered Orders

2023 Q4

2023 Q3

2023 Q2

2023 Q1

2022 Q4

2022 Q3

2022 Q2

2022 Q1

2021 Q4

2021 Q3

2021 Q2

2021 Q1

2020 Q4

2020 Q3

2020 Q2

2020 Q1

2019 Q4

2019 Q3

2019 Q2

2019 Q1

2018 Q4

2018 Q3

2018 Q2

2018 Q1