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Rule 605 Market Center Scorecard
AMERICAN ENTERPRISE INVESTMENT SERVICES INC.
Status: ACTIVE
Generated: Wed, 14 Oct 2026 19:28:57 GMT
Quarter:2026Q3
Covered Orders33,435Across all reported tiers
Covered Shares13,734In Q3 2026
Active Tiers14Order class × notional buckets
Routing Brokers0Disclosed in 606 filings
1. Amended Rule 605 Scorecard vs. Mix-Adjusted Peers — 2026-08
Execution metrics across order classes and the 24 notional × lot categories, benchmarked against what competing market centers delivered on identical symbols.
| Class | Notional × Lot | Orders | Covered Sh | Fill Rate | PI Rate | NPI (bps) | Peer Bench (bps) | Coverage | Rank Pctl | Eff Spread | Speed <1s |
|---|---|---|---|---|---|---|---|---|---|---|---|
| market | <$250 • FRACT | 17,613 | 7,669 | 100.0% | 93.2% | 2.1 bps | 1.3 bps | 26% | 29th | $0.0117 | 99.2% |
| market | $250–$999 • FRACT | 371 | 274 | 100.0% | 89.7% | 1.2 bps | — | 0% | 65th | $0.0395 | 100.0% |
| market | $1k–$5k • FRACT | 1 | 1 | — | — | — | — | — | — | — | — |
| marketable_limit | <$250 • FRACT | 118 | 59 | 99.6% | 92.4% | 3.2 bps | — | 0% | 60th | $0.0060 | 96.6% |
| marketable_limit | $250–$999 • FRACT | 1 | 1 | — | — | — | — | — | — | — | — |
| nonmarketable_limit | <$250 • FRACT | 54 | 29 | — | — | — | — | — | — | — | — |
| nonmarketable_limit | $250–$999 • FRACT | 6 | 3 | — | — | — | — | — | — | — | — |
| market | <$250 • FRACT | 14,149 | 4,937 | 100.0% | 94.2% | 2.7 bps | 2.9 bps | 45% | 63rd | $0.0203 | 99.9% |
| market | $250–$999 • FRACT | 995 | 708 | 100.0% | 93.4% | 2.1 bps | — | 0% | 44th | $0.0497 | 100.0% |
| market | $1k–$5k • FRACT | 5 | 4 | — | — | — | — | — | — | — | — |
| marketable_limit | <$250 • FRACT | 35 | 16 | — | — | — | — | — | — | — | — |
| marketable_limit | $250–$999 • FRACT | 3 | 1 | — | — | — | — | — | — | — | — |
| nonmarketable_limit | <$250 • FRACT | 80 | 30 | — | — | — | — | — | — | — | — |
| nonmarketable_limit | $250–$999 • FRACT | 4 | 2 | — | — | — | — | — | — | — | — |
2. Broker-Dealers Routing Here (Reverse 606 Index)
Firms directing customer order flow to this market center under SEC Rule 606(a), with route percentages and PFOF rates.
No broker-dealers identified routing flow to this market center in 2026Q3.
3. Rule 605 Report Files & Ingestion History
Published monthly execution quality data files crawled from vendor and exchange landing pages.
| File Name | Month | Kind | Status | Fetched At | Source URL |
|---|---|---|---|---|---|
| AEIS202608.zip | 202608 | detailed | stored | 2026-09-30T21:27:23.981273823+00:00 | File Link ↗ |
| AEIS202608.csv | 202608 | summary | stored | 2026-09-30T21:27:23.981270286+00:00 | File Link ↗ |
4. Coverage Gaps & Review Limitations
Suppressed Cells
9
Tiers with < 100 covered ordersMissing Files
0
Months unretrievableMethodological Caveats:
- A venue's Rule 605 statistics describe all flow it handled, not this firm's orders.
- 606 route shares are per order, not per share, and list only the top 10 venues plus any venue with at least 5% of non-directed orders.
- FINRA Rule 5310.09 also requires the firm's own order-level review of its executions.
- This report is not legal or compliance advice.
- Net price improvement is in basis points of executed notional (quote midpoint × shares). The PFOF comparison converts the difference to ¢/100 sh at the venue's average executed price; it is an estimate.
- Brokers routing here reflect venue aliases as of the last crosswalk-venues run.
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