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For individuals

SEC Rule 606 Trade Reporting

SEC Rule 606 Trade Reporting

The U.S. Securities and Exchange Commission’s (SEC) Rule 606 requires all broker-dealers to make available a quarterly report that outlines how their equity and options orders are routed. Principal Securities, Inc. (PSI) is an introducing broker-dealer and has a clearing agreement with National Financial Services LLC (NFS). 100% of PSI’s covered equity and options orders are routed to NFS on a non-directed basis. NFS makes the order routing decision to determine which venues to send the orders to for execution. Therefore, as allowed by SEC Rule 606, PSI adopts NFS’ quarterly Rule 606 reports. PSI does not have any payment for order flow or volume-based payment schedules or rebates with NFS or any of the venues listed in NFS’ report.

Access NFS’ SEC Rule 606 Reports or copy and paste this URL in your web browser. PSI’s order routing is represented in the quarterly reports under the heading NFS Quarterly Report (not FBS Quarterly Report) https://clearingcustody.fidelity.com/trade-execution-quality/sec-rule-606.

PSI updated this process in the 4th Quarter of 2024 and began adopting NFS’ reports. If you would like to receive a copy of PSI’s filed reports from the past three years, please contact us by emailing our trading department at BDSTRADE@exchange.principal.com or by calling us at 888-774-6267.