SEC Rule 606 Report
- Burnham Securities Inc - 4th Qtr, 2009
(Percentages of Total Non-Directed Orders Routed to Individual Route Venues)
Securities Listed on New York Stock Exchange
| Route Venues | Total (%) | Market (%) | Limit (%) | Other (%) |
|---|
| Total (%) | 100 |
11 |
11 |
78 |
| JP Morgan Securities |
88.71 |
67.31 |
80.26 |
93.06 |
| New York Stock Exch |
5.57 |
0.83 |
11.32 |
5.47 |
99.78% of total customer orders were non-directed orders.
Securities Listed on The Nasdaq Stock Market
| Route Venues | Total (%) | Market (%) | Limit (%) | Other (%) |
|---|
| Total (%) | 100 |
4 |
14 |
82 |
| JP Morgan Securities |
96.78 |
82.74 |
92.73 |
98.17 |
99.97% of total customer orders were non-directed orders.
Securities Listed on NYSE Amex or Regional Exchanges
| Route Venues | Total (%) | Market (%) | Limit (%) | Other (%) |
|---|
| Total (%) | 100 |
17 |
18 |
65 |
| JP Morgan Securities |
85.38 |
60.00 |
83.64 |
92.35 |
| UBS Securities LLC |
4.65 |
24.00 |
0.00 |
1.02 |
99.67% of total customer orders were non-directed orders.
Exchange-Listed Options
| Route Venues | Total (%) | Market (%) | Limit (%) | Other (%) |
|---|
| Total (%) | 100 |
4 |
96 |
0 |
| Intl Securities Exchange |
69.16 |
68.89 |
69.18 |
0.00 |
| Chicago Board OptionsExch |
22.00 |
17.78 |
22.19 |
0.00 |
100.00% of total customer orders were non-directed orders.
Material Aspects of Relationship with Route Venues
How to read this report
© Copyright 2010 Thomson Reuters.
All Rights Reserved.