Under the U.S. Securities and Exchange Commission’s Rule 606, broker-dealers are required to make available quarterly reports describing how equity and options orders are routed. MWA Financial Services Inc. (MWAFS) is an introducing broker-dealer and has a clearing agreement with Pershing LLC.
All covered equity and options orders are routed to Pershing, which determines the venues to which orders are sent for execution. MWAFS does not engage in any material arrangements, including receiving payment for order flow or participating in profit-sharing relationships.
Quarterly reports are available to the public free of charge for each calendar quarter and are published no later than one month after the end of the quarter. Reports remain available on the company’s website for three years from the initial posting date.
Quarterly Reports
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