Securities and Exchange Commission Rule ("SEC") 606 requires broker dealers that route client orders in certain equity and option securities to make available to the public quarterly reports that represent a general overview of their routing practices. Upon written request, Lake Street Capital Markets will provide the market center location to which your specific equity and/or option order was routed for execution, and/or a copy of our website information.
Lake Street Capital Markets has prepared this report in accordance with U.S. Securities and Exchange Commission Exchange Act Rule 606 that requires broker/dealers to make public, quarterly reports containing certain information on their order routing practices. The report provides information on the routing of "non-directed orders" which is generally defined as any order that the client has not specifically instructed to be routed to a particular venue for execution.
2019 and Prior Click Here:
https://private.tagaudit.com/do/display?page=Rules&rule=6&mpid=lscm
2020 Click Here:
https://mta.ihsmarkit.com/app-v2/public-report-library/public-report-library-view/Lake%20Street%20Capital%20Markets%20LLC/212
2021 and Forward Click Here: www.fisglobal.com/ptc/rule-606
None of the information contained in this website constitutes a recommendation, solicitation or offer by Lake Street Capital Markets or its affiliates to buy or sell any securities, options or other financial instruments or provide any investment advice or service. Certain transactions give rise to substantial risk and are not suitable for all investors. Past performance does not guarantee future results.
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