SEC Rule 606 (formerly known as Rule 11Ac 1-6)
In compliance with SEC Regulation NMS Rule 606 (formerly Rule 11Ac1-6) Pinnacle Capital Markets, LLC (“PCM”) is currently exempt from the public posting requirement under the de minimus exemption set out in Question 20 of SEC Staff Legal Bulletin No. 13A dated October 16, 2001. Therefore, no report is due at this time.
PCM will disclose to any customer, upon request, the identity of the venue to which the customer’s orders were routed for execution in the six months prior to the request. This includes any orders that are directed or non-directed and the time of the transactions.