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606 Reporting

SEC Rule 606 Report: Percentages of Total Non-Directed Orders Routed to Venues

Empire Asset Management  has prepared this report pursuant to U.S. Securities and Exchange Commission Rule 606, formerly Rule 11A(c)1-6, requiring all brokerage firms to make publicly available quarterly reports on their order routing practices. The report provides information on the routing of non-directed orders, which are any orders that the customer has not specifically instructed to be routed to a particular venue for execution. 

 

View 606 Report

Brokerage

Brokerage

Plan, track, and execute securities transactions in markets around the world, using a broad array of equity and debt instruments.

Asset Management

Asset Management

Every investment plan is customized based on a thorough assessment of each client’s unique goals, needs and appetite for risk while remaining cognizant of the changing market environment.

Investment Banking

Investment Banking

Reach a wider spectrum of investors through our experience in corporate financing, with particular strength in the medical and biotech industries.