SEC Rule 606

Under SEC Rule 606 (“Rule”), broker-dealers such as People’s Securities, Inc. (“PSI”) 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-directed orders in NMS stocks and option contracts in NMS securities. A non-directed order is any order that the customer has not specifically instructed to be routed to a particular venue for execution.  

These order routing practices reports are made available to the public free of charge for each calendar quarter.  Please see below for PSI’s reports formatted in the matter prescribed by the Rule.

 

2020

2020 Q2 PSI Quarterly Report (PDF)

2020 Q2 PSI Quarterly Report (XML)

2020 Q1 PSI Quarterly Report (PDF)

2020 Q1 PSI Quarterly Report (XML)

People’s Securities, Inc.

At People’s Securities, every relationship starts with a conversation; one that focuses on the things you care about most – your family, your goals and your priorities. From there, your financial advisor will help to create a strategy and team that reflects your unique objectives. Our comprehensive platform of planning, investment and insurance solutions allows us to design solutions customized to accommodate your current and future life priorities. Whether you are nearing retirement or just starting out, we can help with our practical investment solutions and professional expertise.

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800-392-3009

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Disclosure

Investment and insurance products are offered through People’s Securities, Inc., a Broker/Dealer, member of FINRA and SIPC, an insurance agency. People’s Securities, Inc. is a subsidiary of People’s United Bank, N.A. Investment products may involve risk, including possible loss of principal. Investment and Insurance Products are:

• Not Insured by FDIC or any Federal Government Agency
• Not a Deposit of or Guaranteed by a Bank or any Bank Affiliate
• May Lose Value


Form CRS - Business Continuity Plan - Commission & Fee Schedule - Financial Statement - Conflicts of Interest Disclosure - Order Routing Disclosure - Day Trading Disclosure - BrokerCheck


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