SEC Rule 606 Report
- Mesirow B/D & I/A Services - 4th Qtr, 2011
(Percentages of Total Non-Directed Orders Routed to Individual Route Venues)
Securities Listed on New York Stock Exchange Euronext
| Route Venues | Total (%) | Market (%) | Limit (%) | Other (%) |
|---|
| Total (%) | 100 |
55 |
24 |
21 |
| Knight Capital Americas |
52.28 |
48.27 |
57.60 |
56.89 |
| Citigroup Global Markets |
39.30 |
44.03 |
33.17 |
33.72 |
| New York Stock Exch |
5.12 |
4.89 |
4.66 |
6.27 |
99.76% of total customer orders were non-directed orders.
Securities Listed on The Nasdaq Stock Market
| Route Venues | Total (%) | Market (%) | Limit (%) | Other (%) |
|---|
| Total (%) | 100 |
54 |
26 |
19 |
| Knight Capital Americas |
62.91 |
63.95 |
69.09 |
51.55 |
| Citigroup Global Markets |
31.75 |
31.53 |
26.11 |
40.09 |
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 |
47 |
29 |
24 |
| Citigroup Global Markets |
58.31 |
63.84 |
51.24 |
56.17 |
| Knight Capital Americas |
36.03 |
30.87 |
42.38 |
38.34 |
96.30% of total customer orders were non-directed orders.
Exchange-Listed Options
| Route Venues | Total (%) | Market (%) | Limit (%) | Other (%) |
|---|
| Total (%) | 100 |
22 |
65 |
13 |
| Citigroup Global Markets |
62.32 |
51.87 |
58.82 |
96.22 |
| Citadel Securities LLC |
37.68 |
48.13 |
41.18 |
3.78 |
100.00% of total customer orders were non-directed orders.
Material Aspects of Relationship with Route VenuesHow to read this report
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