Retirement plans Get the most out of your employer-sponsored retirement plans, including a 401(k).
Annuities Use a guaranteed income stream to help diversify your retirement options.
Individual retirement accounts (IRAs) Set up (and save in) a tax-advantaged account that’s just right for you.
Enroll today, save for tomorrow.
Sign up for your workplace retirement plan.

Enroll now
Looking for a dentist in your network?
Search our directory or browse a list of providers in your area.

Find a dentist
Create an account
Set up your online access and update your information.

Get started
Benefits and insurance Find out how to protect what matters most and support your well-being.
Estate planning Learn how to build a foundation to help your loved ones and leave a legacy.
Financial planning Discover tools, tips, and insights to help reach your short- and long-term goals.
Investing Create a plan and boost your knowledge so you know how to make financial progress.
Retirement Strategies to save for (and enjoy) your retirement.
View all articles
Featured Article

How to create your own lifelong financial plan, step by step

Create a just-for-you path to balance your short- and long-term goals.
How can we help you? Close
Visit the search page to explore all content and features. Log in

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.

SEC Rule 605 trade reporting

The U.S. Securities and Exchange Commission’s (SEC) Rule 605 requires broker-dealers and market centers that execute client trades in national market system (NMS) to make available to the public monthly reports which provide execution quality statistics. Principal Securities, Inc. (PSI) is an introducing broker-dealer and has a clearing agreement with National Financial Services LLC (NFS). PSI routes its customer equity orders to NFS for execution services. NFS is responsible for determining the execution venue(s) and handling order execution functions for covered orders routed through its platform.

As permitted under SEC Rule 605, PSI relies on and adopts the Rule 605 execution quality reports prepared and published by Trading Technologies for covered orders executed through NFS.

5752764-072026