Compliance

SEC Rule 606: Disclosure of Order Routing Information

In order to comply with U.S. Securities and Exchange Commission (SEC) Rule 606, Stuart Frankel & Co. Inc. will publish information on a quarterly basis outlining our routing practices for non-directed orders in U.S. exchange-listed equity securities and options.

Year/Quarter

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2020 Q3

2020 Q2

2020 Q1

2019 Q4

2019 Q3

2019 Q2

2019 Q1

2018 Q4

2018 Q3

2018 Q2

2018 Q1