SEC Rule 606 requires broker-dealers that route orders in certain equity securities to make publicly available quarterly reports that present a general overview of their routing practices. Based on the SEC's requirements, these statistics capture only a portion of Sidoti & Company’s order flow.
We have made every attempt to prepare these statistics in compliance with the SEC's Rules. The required statistics are intended to provide only an overview of our order routing practices. However, these statistics have not been independently audited and may contain errors. Accordingly, any decision about whether to open an account or to direct orders to Sidoti & Company, LLC should not be based solely on these statistics, but on an evaluation of the full range of services that we provide.