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.

3rd Quarter 2020 (PDF)

3rd Quarter 2020 (XML)

2nd Quarter 2020 (PDF)

2nd Quarter 2020 (XML)

1st Quarter 2020 (PDF)

1st Quarter 2020 (XML)

4th Quarter 2019

3rd Quarter 2019

2nd Quarter 2019

1st Quarter 2019