ORDER ROUTING

Order Routing:

The U.S. Securities and Exchange Commission (SEC) adopted new rules in an effort to improve public disclosure of order execution and routing practices. As a result, broker/dealers must, on a quarterly basis, disclose the identity of the market centers to which they route a significant percentage of their orders and the nature of their relationships with such market centers. Finally, brokers must respond to the requests of customers interested in learning where their individual orders were routed for execution during the previous six months.

Pershing:

To access Western International Securities’ most recent quarterly report, please visit www.orderroutingdisclosure.com and enter WESTERN INTERNATIONAL as the name of the broker / dealer. Then, choose the section you wish to review. Please note, the firm name must be entered exactly as it is shown above in order to review the report. If you have any difficulty accessing the Web site, please contact the Western International Securities Compliance Department at 626.793.7717.

NFS:

Western International Securities

606 Reporting Q1 2017
606 Reporting Q2 2017
606 Reporting Q3 2017
606 Reporting Q4 2017

606 Reporting Q1 2018
606 Reporting Q2 2018
606 Reporting Q3 2018
606 Reporting Q4 2018

606 Reporting Q1 2019
606 Reporting Q2 2019
606 Reporting Q3 2019
606 Reporting Q4 2019

606 Reporting Q1 2020 (PDF)
606 Reporting Q1 2020 (XML) 
606 Reporting Q2 2020 (PDF) 
606 Reporting Q2 2020 (XML) 
606 Reporting Q3 2020 (PDF) 
606 Reporting Q3 2020 (XML) 

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