SEC Rule 606 Report: Percentages of Total Non-Directed Orders Routed to Venues

Regal Securities has prepared this report pursuant to U.S. Securities and Exchange Commission Rule 606, formerly Rule 11A(c)1-6, requiring all brokerage firms to make publicly available quarterly reports on their order routing practices. The report provides information on the routing of non-directed orders, which are any orders that the customer has not specifically instructed to be routed to a particular venue for execution.

4th Quarter 2019

3rd Quarter 2019

2nd Quarter 2019

1st Quarter 2019