SEC Rule 606

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.

Quarterly Reports

TradeUP Securities, Inc. (“TradeUP Securities”) is a registered broker-dealer and routes orders for its customers.

TradeUP Securities Quarterly Report

Under SEC Rule 606(b)(1), customers can request specific order routing and execution information for the preceding six months. The information will include the identity of the venue where your orders were routed for execution, whether the orders were directed or non-directed, and if executed, the time of execution.
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.

1. Any order that the customer has not specifically instructed to be routed to a particular venue for execution.