Important information
US Securities and Exchange Commission (SEC) Rule 605 of Regulation NMS provides that market centers trading National Market System (NMS) securities must publicly disclose monthly electronic reports that are required to include uniform statistics regarding execution quality. The SEC requires such disclosures to be made available for free and readily accessible to the public. Information regarding MCUSA’s most recent quality-of-executions disclosure pursuant to SEC Rule 605 is available at https://www.finra.org/finra-data/606-nms-data
US Securities and Exchange Commission (SEC) Rule 606(a) requires brokerage firms to make publicly available quarterly reports, containing certain required statistical information regarding the routing of held, non-directed customer orders in Regulation NMS stocks and listed options. Macquarie Capital (USA) Inc. (“MCUSA”) publishes a quarterly report in accordance with Rule 606(a) and will keep the report publicly available for a period of three years. For each section, the report identifies the venues to which MCUSA routed the relevant orders and, for each venue, the required statistical information. Each section of the report also contains information regarding the material aspects of MCUSA’s relationship, if any, with each venue.
Per FINRA Rule 6151, Macquarie Capital (USA) Inc.’s public 606(a) Reports can be found in the FINRA Data Portal: https://www.finra.org/finra-data/606-nms-data
