SEC

Required Report on Routing of Customer Orders

  • 2024
    • For the Quarter Ending March 31, 2024 (PDF, XML)
  • 2023
    • For the Quarter Ending December 31, 2022 (PDF, XML)
    • For the Quarter Ending September 30, 2022 (PDF, XML)
    • For the Quarter Ending June 30, 2023 (PDF, XML)

SEC Rule 606 The Company shall, on request and free of charge, disclose the identity of the venue to which your orders were routed for execution in the six months prior to the request, whether the orders were directed orders or non-directed orders, and the time if the transactions, if any, that resulted from such orders. Additional information may be found at www.sec.gov/tm/faq-rule-606-regulation-nms

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Tourmaline Partners, LLC is exempt from the requirement to hold an Australian financial services license under the Corporations Act 2001 (Cth) in respect of financial services performed. Tourmaline Partners, LLC is regulated by the Securities and Exchange Commission under United States laws which differ from Australian laws. Tourmaline Europe, LLP is authorized and regulated by the Financial Conduct Authority and is a member of the London Stock Exchange. Tourmaline Europe, LLP is a separate but affiliated entity of Tourmaline Partners, LLC.
BROKER CHECK :: 606 :: Disclosures :: GDPR