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Neuberger Berman Rule 606

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Rule 606

Neuberger Berman BD LLC has prepared reports pursuant to a U.S. Securities and Exchange Commission rule requiring all brokerage firms to make publicly available quarterly reports on their order routing practices. The report provides information on the routing of held orders – orders for which Neuberger did not give discretion to the executing broker relating to the execution the trade – and options trades. The report is divided by month with each month’s data separated into three categories, S&P 500 equities, non-S&P 500 equities and options. For each section, this report contains information on the material aspects of Neuberger Berman BD LLC’s relationship with the venues including identifying the venues most often selected by Neuberger Berman BD LLC, detailing the percentage of various types of orders routed to the venues and providing data on fees for executing trades and rebates from the venues. Information relating to the execution of trades for your account is available upon request.

Recent Reports
View reports from Q1 2020 onward through our partner FIS Global
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View archived reports 2017-2019