Rule 606 workspace
606(a) Preflight
Review the finished Rule 606(a) package before publication. RegPreflight checks the XML and publication PDF, reviews routing and payment disclosures, compares month-to-month changes, and prepares the supervisory record.
Review the finished report.
Add the current-quarter XML and PDF. Prior-quarter files are optional and let RegPreflight continue the month-to-month comparison across quarters.
Files stay on this device
🔒 Report files stay on this device.
Ready for the current Rule 606(a) package.
1. Current-quarter publication package
Upload the final XML and PDF intended for publication. RegPreflight checks both files and compares them for consistency.
No current XML loaded.
No current PDF loaded.
2. Prior-period comparison Optional
Use the prior-quarter XML to compare the last month of the prior report to the first month of the current report. RegPreflight then continues month-to-month through all three current-quarter months.
No prior XML loaded.
No prior PDF loaded.
Find a prior report on FINRA
Use FINRA's public data to locate a prior report when needed.
3. Review settings
Set when changes should be flagged for review. These settings do not change SEC requirements.
Default: 99.99%–100.01%.
Outside 99.95%–100.05% defaults to FAIL.
Percentage-point movement.
Used together with the percentage-point setting.
Used together with the relative-change setting.
Cents per hundred shares.
Used for both dollar and cents-per-hundred changes.
Preflight overview
Analysis in progress
Load the current XML + PDF to complete the package review.
XML checks
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Required fields and report checks
PDF comparison
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Matches the XML
Review items
0
Items needing attention
Pending dispositions
0
Resolve before download
4. Items to review
RegPreflight's finding stays unchanged. Your disposition records how the item was handled.
| Severity | Priority | Area | Finding | Disposition + comment |
|---|---|---|---|---|
| Upload the current XML and PDF to see review items. | ||||
5. Routing overview — equities
S&P 500 and other NMS-stock findings can be displayed together, but percentages are not mathematically combined without weighting data.
| Period | Section | Venue / scope | Metric | Prior | Current | Change / reason |
|---|---|---|---|---|---|---|
| No month-to-month changes to show yet. | ||||||
6. Routing overview — options
Options are always reviewed and reported separately from equities.
| Period | Section | Venue / scope | Metric | Prior | Current | Change / reason |
|---|---|---|---|---|---|---|
| No month-to-month changes to show yet. | ||||||
7. Final reviewer sign-off
Resolve every review item and complete sign-off before downloading the final review package.
Scope of review RegPreflight checks the finished Rule 606(a) package against SEC reporting requirements. It does not rebuild total PFOF from the firm's underlying routed-share data.
Upload the current XML + PDF to begin.