SEC Rule 606 requires all broker-dealers that route orders on behalf of customers to make available quarterly reports that present a general overview of their routing practices. The reports must identify the significant venues to which the customer orders were routed for execution and disclose the material aspects of the broker-dealer’s relationship with such venues.
Cleary Gull routes the majority of equity transactions to RBC and has determined that the RBC order routing is representative of Cleary Gull customer transactions.
Please click here to view the RBC Report on Routing of Customer Orders for the current quarter.
Customer Request for Order Routing Information
Upon request, Cleary Gull will provide you with the identity of the venue to which your orderse were routed for execution in the six months prior to the requests, whether the orders were directed orders or non-directed orders, and the time of the transactions, if any, that resulted from such orders.
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