FAQ

I am having trouble logging in. I do not remember my login information.

In most case login problems exist because clients forget their passwords, or use capital letters (everything should be lower case). Please contact us and we will provide you with the correct login information.

What is the deadline for me to publish my report(s)?

The deadline to publish is by midnight of the last day of the following month after the regulatory period ends.

When will you release my report so I can review and publish?

It takes time for us to gather all data after the regulatory period ends, to process it, and to review it. Typically, the majority of reports are released to clients from the 10th to the 20th of the month immediately after the regulatory period ends.

What is the difference between Rule 605 and Rule 606?

Rule 606 only focuses on the Broker-Dealer order routing practices, specifically where does the B-D route customer non-directed orders for execution. Rule 605 is only for market makers and focuses on actual execution quality.

What are some exceptions to the rules?

Rule5 Orders of 99 shares or less are excluded, orders of 10,000 shares or more are excluded. In order to file Rule5, a market maker needs to execute on average 200 orders per day for the previous 6 months. The following are excluded from Rule5: OTC Bulletin Boards,   Options orders, Proprietary trades, Manually Received orders, Not-Held orders, Pre-opening and After-close orders. Rule6 Equity orders worth $200,000 or more are excluded; Options contacts worth $50,000 or more are excluded. T he following are excluded from Rule6: OTC Bulletin Boards, Proprietary trades.