Securities and Exchange Commission Rule ("SEC") 606 requires broker dealers that route client orders in certain equity and option securities to make available to the public quarterly reports that represent a general overview of their routing practices. Upon written request, Lake Street Capital Markets will provide the market center location to which your specific equity and/or option order was routed for execution, and/or a copy of our website information.
Lake Street Capital Markets has prepared this report in accordance with U.S. Securities and Exchange Commission Exchange Act Rule 606 that requires broker/dealers to make public, quarterly reports containing certain information on their order routing practices. The report provides information on the routing of "non-directed orders" which is generally defined as any order that the client has not specifically instructed to be routed to a particular venue for execution.
2019 and Prior Click Here:
2020 Click Here:
2021 and Forward Click Here: www.fisglobal.com/ptc/rule-606