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 manner prescribed by the Rule for 2020 reports ending June 30, 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)