Disclosures
This website is for informational purposes only and does not constitute a complete description of our services. Information throughout this site is obtained from sources which we believe reliable, but we do not warrant or guarantee the timeliness or accuracy of this information. Nothing on this website should be interpreted to state or imply that past results are an indication of future performance. Maplewood Investments, Inc. has no control over the accuracy of websites found through the links within.
Maplewood Investments, Inc. is not a legal or tax advisor. However, we will work with you, your account, tax advisor and attorney to help you meet your financial goals. Since no one investment program is suitable for all types of investors, this information is provided for informational purposes only. You should review your investment objectives, risk tolerance and liquidity needs before selecting a suitable investment program.
SEC Rule 606 Reports
DISCLOSURE OF ORDER EXECUTION AND ROUTING PRACTICES (SEC RULE 606)
The Securities and Exchange Commission (SEC) adopted Rule 606 of Regulation NMS that requires broker dealers, such as Maplewood Investments, Inc., to disclose information on order routing practices. National Financial Services, LLC presents this through quarterly reports, broken out by month, that present an overview of order routing practices and the relationship between certain venues where orders are routed.
Maplewood Investments, Inc. exclusively routes held orders in Rule 606 reportable securities to its clearing broker, National Financial Services, LLC (NFS) for order routing. NFS may not be the ultimate execution venue for such orders, and these orders may be further routed to other execution venues. NFS is required to seek best execution for these orders. NFS receives remuneration (i.e. payment for order flow) for directing orders to particular broker dealers or market centers for execution. Maplewood Investments, Inc. does not share in such payments. Maplewood Investments, Inc., does not direct, select, or control the execution venues to which NFS routes Rule 606 reportable securities for execution. Maplewood Investments, Inc. performs regular reviews of the execution quality for orders routed to NFS.
Please click here https://clearingcustody.fidelity.com/trade-execution-quality/sec-rule-606 to view the most recent quarterly report compiled by NFS that reflects any execution venue specific arrangements or other execution venue fees or rebates.
1st Quarter 2024
4th Quarter 2023
3rd Quarter 2023
2nd Quarter 2023
1st Quarter 2023
4th Quarter 2022
3rd Quarter 2022
2nd Quarter 2022
1st Quarter 2022
4th Quarter 2021
3rd Quarter 2021
2nd Quarter 2021
1st Quarter 2021
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