SEC Rule 606
Plynk/Digital Brokerage Services LLC Order Routing Information
Under SEC Rule 606(a), broker-dealers that route equity and option orders on behalf of customers are required to prepare quarterly reports that disclose specific information about their order routing practices for non-directed1 orders in NMS stocks and option contracts in NMS securities.
The reports are made available to the public free of charge for each calendar quarter and published no later than one month after the end of the quarter.
National Financial Services LLC (NFS) and Green Pier Fintech LLC (GP) are registered broker-dealers affiliated with Digital Brokerage Services LLC (DBS). NFS routes orders for NFS and DBS customers. GP routes orders for GP and DBS customers.
Plynk/Digital Brokerage Services LLC Quarterly Reports
Required statistical order routing information for Retail accounts.
| Quarter | NFS | NFS | GP | GP |
|---|---|---|---|---|
| Q1 2023 | (PDF) | (XML) | ||
| Q2 2023 | (PDF) | (XML) | ||
| Q3 2023 | (PDF) | (XML) | ||
| Q4 2023 | (PDF) | (XML) | ||
| Q1 2024 | (PDF) | (XML) | ||
| Q2 2024 | (PDF) | (XML) | ||
| Q3 2024 | (PDF) | (XML) | ||
| Q4 2024 | (PDF) | (XML) | (PDF) | (XML) |
| Q1 2025 | (PDF) | (XML) | (PDF) | (XML) |
| Q2 2025 | (PDF) | (XML) | (PDF) | (XML) |
| Q3 2025 | (PDF) | (XML) | (PDF) | (XML) |
| Q4 2025 | (PDF) | (XML) | (PDF) | (XML) |
| Q1 2026 | (PDF) | (XML) | (PDF) | (XML) |
Through, the Contact Us feature on the Plynk app, customers can request details on NMS stock orders in NMS securities including the identity of the venue and the time of execution for the prior six months. Under SEC Rule 606(b)(3) broker-dealers are required, upon request of a customer that places not held orders, to provide specific disclosures regarding routing and execution of such orders for the prior six months.
