SEC Rule 605:
Imperial Capital, LLC does not accept covered orders under SEC Rule 605,
and therefore has no covered order data to report for the prior reporting period.
SEC Rule 606 (Rule 6):
Imperial Capital, LLC does not accept covered orders covered under SEC Rule 606(a)1 therefore no report is prepared or published. If you wish to obtain a copy of where your orders were executed and the amount of fees received or charged by Imperial Capital, LLC regarding your orders under SEC Rule 606(b)(3), please contact your account representative.
Legacy SEC Rule 606 data prior to January 2020 can be obtained at www.tagaudit.com