SEC Rule 606 Report
- Mesirow B/D & I/A Services - 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 |
52 |
23 |
25 |
| Knight Capital Markets |
50.95 |
44.32 |
65.61 |
51.40 |
| Auto Trading Desk Fin Svc |
29.63 |
32.67 |
21.07 |
31.11 |
| New York Stock Exch |
19.29 |
23.01 |
13.26 |
17.02 |
99.61% of total customer orders were non-directed orders.
Securities Listed on The Nasdaq Stock Market
| Route Venues | Total (%) | Market (%) | Limit (%) | Other (%) |
|---|
| Total (%) | 100 |
47 |
28 |
25 |
| Knight Equity Markets |
58.14 |
54.60 |
66.10 |
55.71 |
| Auto Trading Desk Fin Svc |
33.42 |
36.10 |
26.03 |
36.80 |
| UBS Securities LLC |
8.42 |
9.29 |
7.87 |
7.43 |
99.91% of total customer orders were non-directed orders.
Securities Listed on NYSE Amex or Regional Exchanges
| Route Venues | Total (%) | Market (%) | Limit (%) | Other (%) |
|---|
| Total (%) | 100 |
44 |
32 |
25 |
| Knight Capital Markets |
56.38 |
55.62 |
60.28 |
52.76 |
| Auto Trading Desk Fin Svc |
42.46 |
43.39 |
39.34 |
44.78 |
100.00% of total customer orders were non-directed orders.
Exchange-Listed Options
| Route Venues | Total (%) | Market (%) | Limit (%) | Other (%) |
|---|
| Total (%) | 100 |
21 |
60 |
19 |
| Citigroup Global Markets |
99.96 |
100.00 |
99.98 |
99.86 |
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.