SEC Rule 606 and 607 Disclosures

SEC Rule 606 requires all broker-dealers that route orders in equity and option securities to make available quarterly reports that present a general overview of their routing practices. With respect to NH Investment & Securities America, Inc. (NHISA)’s relationships with trading venues, NHISA routes all orders in equity securities to its clearing firm, Apex Clearing (“Apex”) for execution. Pursuant to SEC Rule 607, NHISA is required to disclose the payment for order flow practices. NHISA does not receive any payment for order flow. 

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Link to Apex Clearing’s SEC Rule 606 Reports:  Apex 606 Reports 

Link to Apex Clearing's Disclosures: Apex Disclosures