SEC Rule 605 and 606 Reporting Archive

In accordance with U.S. Securities and Exchange Commission (SEC) Rules 605 and 606, Piper Sandler & Co. (the Firm) is publishing statistical information about our routing practices for held orders in U.S. exchange-listed equity securities, and options orders. The Firm handles all client equity and option order flow on a not held basis. Per SEC Rules 605 and 606, we are not required to report equity orders executed on a not-held basis, but the Firm is required to report options handled as held or not-held. 

For clients wanting more detailed reports specified in SEC Rule 606 on the routing of their orders sent to the Firm for options or equities, please contact your account representative. See below for Piper Sandler’s quarterly options report for SEC Rule 606a, along with downloads in PDF and XML formats for the 1st quarter of 2020 through 1st quarter of 2024. 

 

QuarterReportPDFXML
Q1 2024606a1 Held Order Public ReportDownload PDFDownload Zip
Q4 2023606a1 Held Order Public ReportDownload PDFDownload Zip
Q3 2023606a1 Held Order Public ReportDownload PDFDownload Zip
Q2 2023606a1 Held Order Public ReportDownload PDFDownload Zip
Q1 2023606a1 Held Order Public ReportDownload PDFDownload Zip
Q4 2022606a1 Held Order Public ReportDownload PDFDownload Zip
Q3 2022606a1 Held Order Public ReportDownload PDFDownload Zip
Q2 2022606a1 Held Order Public ReportDownload PDFDownload Zip
Q1 2022606a1 Held Order Public ReportDownload PDFDownload Zip
Q4 2021606a1 Held Order Public ReportDownload PDFDownload Zip
Q4 2021606a1 Held Order Public Report (Cornerstone Macro LLC)Download PDFDownload Zip
Q3 2021606a1 Held Order Public ReportDownload PDFDownload Zip
Q3 2021606a1 Held Order Public Report (Cornerstone Macro LLC)Download PDFDownload Zip
Q2 2021606a1 Held Order Public ReportDownload PDFDownload Zip
Q2 2021606a1 Held Order Public Report (Cornerstone Macro LLC)Download PDFDownload Zip
Q1 2021606a1 Held Order Public ReportDownload PDFDownload Zip
Q1 2021606a1 Held Order Public Report (Cornerstone Macro LLC)Download PDFDownload Zip
Q4 2020606a1 Held Order Public ReportDownload PDFDownload Zip
Q3 2020606a1 Held Order Public ReportDownload PDFDownload Zip
Q2 2020606a1 Held Order Public ReportDownload PDFDownload Zip
Q1 2020606a1 Held Order Public ReportDownload PDFDownload Zip

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