SEC Rule 606 Report
- Mesirow B/D & I/A Services - 3rd Qtr, 2008
(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 |
49 |
30 |
22 |
| New York Stock Exch |
45 |
44 |
43 |
49 |
| Knight Capital Markets |
33 |
31 |
40 |
31 |
| Auto Trading Desk Fin Svc |
21 |
26 |
16 |
20 |
100% of total customer orders were non-directed orders.
Securities Listed on The Nasdaq Stock Market
| Route Venues | Total (%) | Market (%) | Limit (%) | Other (%) |
|---|
| Total (%) | 100 |
41 |
37 |
22 |
| Knight Equity Markets |
60 |
51 |
72 |
55 |
| Auto Trading Desk Fin Svc |
33 |
41 |
20 |
37 |
| UBS Securities LLC |
8 |
8 |
7 |
7 |
100% of total customer orders were non-directed orders.
Securities Listed on American Stock Exchange or Regional Exchanges
| Route Venues | Total (%) | Market (%) | Limit (%) | Other (%) |
|---|
| Total (%) | 100 |
43 |
27 |
30 |
| Knight Capital Markets |
48 |
50 |
54 |
38 |
| American Stock Exchange |
30 |
23 |
30 |
39 |
| Auto Trading Desk Fin Svc |
20 |
23 |
15 |
20 |
100% of total customer orders were non-directed orders.
Exchange-Listed Options
| Route Venues | Total (%) | Market (%) | Limit (%) | Other (%) |
|---|
| Total (%) | 100 |
15 |
65 |
20 |
| Citigroup Global Markets |
100 |
100 |
100 |
100 |
100% of total customer orders were non-directed orders.
Material Aspects of Relationship with Route Venues
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