NMS Rule 606

Pursuant to U.S. Securities and Exchange Commission Rule 606, Mesirow Financial, Inc. provides a quarterly report that summarize its order routing practices. The report provides information on the routing of “non-directed orders”—any order that the customer has not specifically instructed to be routed to a particular venue for execution. For these non-directed orders, Mesirow Financial, Inc. has selected the execution venue on behalf of its customers. Hard copies of the quarterly reports are available, free of charge, upon request.

Mesirow Financial, Inc now places client orders on a fully disclosed basis through our clearing agreements with National Financial Services (NFS) and Pershing, LLC. To access order flow information for NFS, please click on the NFS link below. To access order flow information for Pershing, please click on the Pershing link below and type in “Mesirow Financial, Inc” in the “Broker/Dealers Full Name” field and click the “Display” button.

NFS order routing information

Pershing order routing information

NFS historical order routing information