SEC Rule 606(72)

The Leaders Group, Inc. (TLG) is committed to providing our clients with competitive trade executions as well as full transparency into our order routing practices and payment for order flow.

Disclosure of SEC-required order routing information. For purposes of SEC Regulation NMS Rule 606 (formerly Rule 11Ac1-6) TLG is required to disclose, as an introducing firm, its clearing relationship with National Financial Services (NFS). NFS, who acts as TLG’s clearing firm, is required to make publicly available, quarterly reports on the firm’s order routing practices. NFS’s report provides information on the routing of “non-directed orders” which is generally defined as any order that the client has not specifically instructed to be routed to a particular venue for execution. For these non-directed orders, NFS has selected the execution venue on behalf of its clients. Here is a link to the NFS reports

Upon request, TLG will provide the identity regarding the specific routing venue for executed orders in your account for the previous six months. To request order routing information, you may contact TLG’s Compliance Department.

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