Compliance

SEC Rule 606 (“Rule”) requires all broker-dealers that route orders in equity and option securities to make available quarterly reports that present a general overview of their practices regarding the routing of held, non-directed customer orders in Regulation NMS stocks. The reports must identify the significant venues to which customer orders were routed for execution during the applicable quarter and disclose the material aspects of the broker-dealer’s relationship with such venues. In addition, the Rule requires broker-dealers to disclose, on customer request, the venues to which the customer’s individual orders were routed.

To view the current quarterly report of the Griffin Financial Group, LLC in accordance with Rule 606(a), please click here:

Qtr. 1  2020
Qtr. 2 2020

For more information, please contact Griffin Financial Group at 610-478-2105.

Form CRS

 
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