Order Routing Information (SEC Rule 606)
In compliance with SEC Regulation NMS Rule 606 (formerly Rule 11Ac1-6), Scottsdale Capital Advisors (“SCA”) is currently exempt from the public posting requirement of Rule 606 under the de minimis exemption set out in Question 20 of SEC Staff Legal Bulletin No. 13A, dated October 16, 2001. This exemption is generally available to broker-dealers that have routed on average 500 or fewer customer orders in covered securities per month during the preceding calendar quarter. Accordingly, no report is due at this time.
SCA will disclose to any customer, upon request, the identity of the venue to which the customer’s orders were routed for execution in the six months prior the request. To request order routing information, you may call SCA Compliance at 480-603-4900.