Order Routing - Rule 606 Information

Arthur W. Wood Company, Inc. obtains quarterly reports that present a review of order routing practices.

The reports identify the manner to which client orders were routed for execution by our clearing firm, Raymond James & Associates.

For those reports, please click this link: PTC - Rule 606 / FIS

Once accessed choose "RAJA - Raymond James & Associates" from the "Select Company Name" section.  You can then choose which quarterly report to view.

Should you wish additional information on the regulations regarding order routing and execution, please utilize this link for the applicable SEC's website.