{"id":1086,"date":"2026-07-01T21:06:02","date_gmt":"2026-07-01T21:06:02","guid":{"rendered":"https:\/\/itinfonity.io\/jhdarbie\/?page_id=1086"},"modified":"2026-07-01T21:06:02","modified_gmt":"2026-07-01T21:06:02","slug":"rule606","status":"publish","type":"page","link":"https:\/\/jhdarbie.com\/us\/rule606\/","title":{"rendered":"Rule 606"},"content":{"rendered":"<p>SEC-Required Report on Routing of Customer Orders<\/p>\n<p>The U.S. Securities and Exchange Commission\u2019s client disclosure rule, Rule 606, requires all broker-dealers that route orders in equity and options securities to make available quarterly reports that present a general overview of their routing practices. The reports must identify the significant venues to which the client orders were routed for execution during the applicable quarter and disclose the material aspects of the broker-dealer\u2019s relationship with such venues.<\/p>\n<p>Orders routed by JHD Darbie &amp; Co., Inc. can be found <a href=\"http:\/\/disclosures.bestxstats.com\/jhda\/606\/\">here<\/a>**.&nbsp;<\/p>\n<p><!--\n\n\n<p>Orders routed by JHD Darbie &amp; Co., Inc. prior to 2020:<\/p>\n\n\n\n\n\n<form action=\"..\/cgi-bin\/redirect.html\" method=\"get\" name=\"reportmenu\" target=\"_self\">\n\n\n<div align=\"center\">\n<center>\n\n\n<p><select name=\"one\" onchange=\"top.document.reportmenu.action = top.document.reportmenu.one.options[top.document.reportmenu.one.selectedIndex].value; document.reportmenu.one.selectedIndex=0; top.document.reportmenu.submit();\" size=\"1\"><option selected=\"selected\">SEC Rule 606 Reports(through 2019)<\/option><option value=\"\/sv\/sites\/default\/files\/jhd_disclosures\/rule_606\/2019Q4.pdf\">4th Quarter 2019<\/option><option value=\"\/sv\/sites\/default\/files\/jhd_disclosures\/rule_606\/2019Q3.pdf\">3rd Quarter 2019<\/option><option value=\"\/sv\/sites\/default\/files\/jhd_disclosures\/rule_606\/2019Q2.pdf\">2nd Quarter 2019<\/option><option value=\"\/sv\/sites\/default\/files\/jhd_disclosures\/rule_606\/2019Q1.pdf\">1st Quarter 2019<\/option><option value=\"\/sv\/sites\/default\/files\/jhd_disclosures\/rule_606\/2018Q4.pdf\">4th Quarter 2018<\/option><option value=\"\/sv\/sites\/default\/files\/jhd_disclosures\/rule_606\/2018Q3.pdf\">3rd Quarter 2018<\/option><option value=\"\/sv\/sites\/default\/files\/jhd_disclosures\/rule_606\/2018Q2.pdf\">2nd Quarter 2018<\/option><option value=\"\/sv\/sites\/default\/files\/jhd_disclosures\/rule_606\/2018Q1.pdf\">1st Quarter 2018<\/option><\/select><\/p>\n\n\n<\/center>\n<\/div>\n\n\n<\/form>\n\n\n--><\/p>\n<p>J.H. Darbie uses Axos Clearing for its 606 reporting.<br \/>\nA link to Axos Clearing LLC 606 reports can be found&nbsp;<a href=\"https:\/\/external.s3.com\/rule606\/axos\/\">here<\/a>.<\/p>\n<p>J.H. Darbie uses Vision Financial Markets for its 606 reporting.<br \/>\nA link to Vision Financial Markets LLC 606 reports can be found <a href=\"https:\/\/www.vfmarkets.com\/disclosures-disclaimers\/#flow\">here<\/a>.<\/p>\n<p>&nbsp;<\/p>\n<p>&nbsp;<\/p>\n<h5>**On occasion JH Darbie &amp; Co. may be&nbsp;exempt from publishing Rule 606(a) due to having no or de minimis customer routed Held order flow.<\/h5>\n","protected":false},"excerpt":{"rendered":"<p>SEC-Required Report on Routing of Customer Orders The U.S. Securities and Exchange Commission\u2019s client disclosure rule, Rule 606, requires all broker-dealers that route orders in equity and options securities to make available quarterly reports that present a general overview of their routing practices. The reports must identify the significant venues to which the client orders were routed for execution during the applicable quarter and disclose the material aspects of the broker-dealer\u2019s relationship with such venues. Orders routed by JHD Darbie &amp; Co., Inc. can be found here**.&nbsp; J.H. Darbie uses Axos Clearing for its 606 reporting. A link to Axos Clearing LLC 606 reports can be found&nbsp;here. J.H. Darbie uses Vision Financial Markets for its 606 reporting. A link to Vision Financial Markets LLC 606 reports can be found here. &nbsp; &nbsp; **On occasion JH Darbie &amp; Co. may be&nbsp;exempt from publishing Rule 606(a) due to having no or de minimis customer routed Held order flow.<\/p>\n","protected":false},"author":1,"featured_media":0,"parent":0,"menu_order":0,"comment_status":"closed","ping_status":"closed","template":"","meta":{"_acf_changed":false,"footnotes":""},"class_list":["post-1086","page","type-page","status-publish","hentry"],"acf":[],"_links":{"self":[{"href":"https:\/\/jhdarbie.com\/us\/wp-json\/wp\/v2\/pages\/1086","targetHints":{"allow":["GET"]}}],"collection":[{"href":"https:\/\/jhdarbie.com\/us\/wp-json\/wp\/v2\/pages"}],"about":[{"href":"https:\/\/jhdarbie.com\/us\/wp-json\/wp\/v2\/types\/page"}],"author":[{"embeddable":true,"href":"https:\/\/jhdarbie.com\/us\/wp-json\/wp\/v2\/users\/1"}],"replies":[{"embeddable":true,"href":"https:\/\/jhdarbie.com\/us\/wp-json\/wp\/v2\/comments?post=1086"}],"version-history":[{"count":3,"href":"https:\/\/jhdarbie.com\/us\/wp-json\/wp\/v2\/pages\/1086\/revisions"}],"predecessor-version":[{"id":2150,"href":"https:\/\/jhdarbie.com\/us\/wp-json\/wp\/v2\/pages\/1086\/revisions\/2150"}],"wp:attachment":[{"href":"https:\/\/jhdarbie.com\/us\/wp-json\/wp\/v2\/media?parent=1086"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}