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

  1. Q2 2022 PDF
  2. Q2 2022 XML
  3. Q1 2022 PDF
  4. Q1 2022 XML
  5. Q4 2021 PDF
  6. Q4 2021 XML
  7. Q3 2021 PDF
  8. Q3 2021 XML
  9. Q2 2021 PDF
  10. Q2 2021 XML
  11. Q1 2021 PDF
  12. Q1 2021 XML
  13. Q4 2020 PDF
  14. Q4 2020 XML
  15. Q3 2020 PDF
  16. Q3 2020 XML
  17. Q2 2020 PDF
  18. Q2 2020 XML
  19. Q1 2020 PDF
  20. Q1 2020 XML
  21. Q4 2019 PDF
  22. Q3 2019 PDF
  23. Q2 2019 PDF
  24. Q1 2019 PDF
  25. Q4 2018 PDF
  26. Q3 2018 PDF
  27. Q2 2018 PDF
  28. Q1 2018 PDF
  • 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.