SEC Rule 606 Reporting Made Simple with RSMS
Generate precise, audit-ready 606 reports with RSMS and stay fully compliant with SEC & FINRA, with zero manual effort.
- Fully SEC Rule 606 compliant
- Built-in CAT/606 consistency checks
- Cloud-based platform
- Secure & scalable solution
- 606 Reports in PDF and XML formats
SEC Rule 606 Reporting Made Simple with RSMS
Generate precise, audit-ready 606 reports with RSMS and stay fully compliant with SEC & FINRA, with zero manual effort.
- Fully SEC Rule 606 compliant
- Built-in CAT/606 consistency checks
- Cloud-based platform
- Secure & scalable solution
- 606 Reports in PDF and XML formats
What Is the SEC Rule 606 Report?
SEC Rule 606 mandates that broker-dealers routing equity and option orders for customers publish quarterly reports detailing how non-directed orders in NMS stocks and options are routed, ensuring transparency and investor protection.
Transparency in Order Routing
Provides clear visibility into how customer orders are routed, ensuring fair and open markets.
Quarterly & On-Request Reports
Offers 606(a) quarterly reports and 606(b) on-demand customer order execution reports, ensuring transparency.
Enhanced Oversight
Provides supervisory control and continuous monitoring across multiple regulations for seamless SEC & FINRA compliance.
RSMS for SEC Rule 606 Reporting
At Capital Market Solutions (CMS), we have integrated SEC Rule 606 reporting into our proven regtech platform, RSMS. Built on decades of industry experience, RSMS brings 606 reporting into the same environment your team already trusts for CAT compliance, providing broker-dealers a single, secure hub for trade transparency and order-routing oversight. By unifying these obligations, RSMS helps firms reduce operational friction, improve data consistency, and strengthen supervisory controls over how customer orders are handled.
Cross-Reg 606 & CAT Surveillance
OMS/EMS Platform Integration
Scalable Platform Architecture
Multiple Integrated Workflows
Secure Cloud-Based Platform
Data Management & Reporting
How RSMS Delivers SEC 606 Compliant Reports
RSMS is powered by a structured, end-to-end workflow that validates, formats, and delivers compliant 606 reports with confidence.
Data Ingestion
RSMS receives managed execution, routing, and fee/rebate data from CMS on behalf of broker-dealers and market centers, ensuring complete and accurate data capture.
Data Processing
RSMS applies required transformations, standardization, and integrity checks aligned with 606 rules, and returns validated, enriched data to CMS for reporting obligations and surveillance
Consultation & Surveillance
RSMS guides on data governance, audit processes, and compliance frameworks while supporting cross-regulation surveillance across 606 and CAT reporting obligations.
Report Delivery
Within RSMS, SEC rule 606 data are properly formatted to meet public posting requirements, FINRA centralization standards, and private customer report delivery obligations accurately.
Why Choose RSMS for 606 Reporting
Skip the quarterly rush and stay confident with accurate SEC 606 reporting and disciplined control over order-routing disclosures through RSMS.
Built by Compliance Experts
Deep domain expertise in SEC & FINRA regulatory requirements.
Designed for Broker-Dealers
Purpose-built workflows tailored to your compliance operations.
Effortless Public Reporting
Simplified public 606 reporting aligned with regulatory requirements.
Scalable for All Firm Sizes
From boutique firms to large institutions, RSMS can scale with you.
Secure Cloud-Based Solution
Experience enterprise-grade security with audit-readiness anytime, anywhere
Dedicated Support
Get expert RSMS support when you need it with our compliance support team.
Built for Regulatory Confidence
Your data security and regulatory compliance are our top priorities.
SEC & FINRA aligned framework
Data encryption & access controls
Audit-ready documentation
Enterprise-grade security standards
Simplify Your SEC 606 Reporting For Next Quarter And Beyond
Transforms complex order routing data into fully compliant SEC 606 disclosures with RSMS
Frequently Asked Questions
SEC Rule 606 requires broker-dealers to publicly disclose detailed information about their order-routing practices for non-directed customer orders. The 606 report provides transparency into where orders are routed, the material aspects of those relationships, and any associated payment for order flow arrangements.
The goal of Rule 606 is to ensure investors understand how their orders are handled and whether potential conflicts of interest may exist.
Yes. RSMS is designed to generate SEC Rule 606 reports in the prescribed regulatory format.
Our solution ensures:
- Accurate data aggregation
- Structured formatting aligned with SEC requirements
- Clear disclosure-ready outputs
RSMS helps firms reduce manual effort, minimise errors, and stay confident during regulatory reviews and audits.
Cross-Reg 605/606 & CAT Surveillance refers to the integrated monitoring of regulatory data across SEC Rules 605, 606, and CAT reporting obligations.
By analyzing data across these frameworks, firms can detect inconsistencies in order-routing disclosures, strengthen compliance controls, improve audit readiness, enhance regulatory risk management.
RSMS supports a unified compliance approach, helping firms manage multiple regulatory requirements within a structured and controlled environment.
Absolutely.
If you are already using RSMS for CAT reporting, your existing data infrastructure and integrations can streamline your 606 reporting process. Since both obligations rely on accurate order and routing data, RSMS enables cross-utilisation of validated datasets, reducing duplication of effort.
This creates operational efficiency while maintaining strong regulatory alignment across reporting requirements.
Booking a demo is simple.
You can contact us through our website or email us directly to schedule a personalized walkthrough of RSMS. During the demo, we will show you how RSMS simplifies 606 reporting, strengthens controls, and reduces quarterly reporting stress. We are always here to help you!