Broker Check

SEC Order Routing Rule


The U.S. Securities and Exchange Commission's Rule 606 requires all broker/dealers that route orders in equity and option securities to publish quarterly reports that provide a general overview of their routing practices. This report must identify the venues to which non-directed customer orders in U.S. exchange-listed equity securities and options were routed for execution, and disclose the material aspects of the broker/dealer's relationship with such venues. The purpose of this report is to provide the public with information on how broker-dealers route orders, enable the evaluation of order routing practices and foster competition among market participants. Upon request, broker-dealers also must disclose to customers the venues to which their individual orders were routed. Each customer may request a written copy of the report be mailed to them at no charge.

Barrett & Company enters all equity orders through the order entry system of our clearing broker, National Financial Services LLC; and, with the exception of our clearing broker/introducing broker relationship with National Financial, we have no material relationships with any of the below-referenced venues. We do not receive any compensation or payment for order flow.

Most Recent Quarterly Report

PDF Q4 2023 | XML Q4 2023

Historical Reports

PDF Q3 2023 | XML Q3 2023

PDF Q2 2023 | XML Q2 2023

PDF Q1 2023 | XML Q1 2023

PDF Q4 2022 | XML Q4 2022

PDF Q3 2022 | XML Q3 2022

PDF Q2 2022 | XML Q2 2022 

PDF Q1 2022| XML Q1 2022

PDF Q4 2021| XML Q4 2021

PDF Q3 2021| XML Q3 2021

PDF Q2 2021| XML Q2 2021

PDF Q1 2021 | XML Q1 2021

PDF Q4 2020 | XML Q4 2020

PDF Q3 2020 | XML Q3 2020

PDF Q2 2020 | XML Q2 2020

PDF Q1 2020 | XML Q1 2020