SEC Order Routing Disclosure (SEC Rule 606)
SEC Regulation NMS Rule 606 requires broker-dealers to prepare and make publicly available a quarterly report that identifies the significant venues to which it routed clients’ orders for execution during the preceding quarter. Dynamex Trading LLC is currently exempt from the public posting requirement of Rule 606 under the de minimis exemption set out in Question 20 of SEC Staff Legal Bulletin No. 13A dated October 16, 2001.
Dynamex Trading LLC will disclose to any customer, upon request, the identity of the venue(s) to which the customer’s orders were routed for execution in the six months prior the request.