SEC Rule 606 Report
- Mesirow B/D & I/A Services - 2nd Qtr, 2010
(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 |
51 |
25 |
23 |
| Knight Capital Markets |
51.09 |
45.29 |
58.50 |
55.85 |
| Auto Trading Desk Fin Svc |
31.61 |
35.04 |
24.99 |
31.27 |
| New York Stock Exch |
17.10 |
19.68 |
15.99 |
12.60 |
99.05% of total customer orders were non-directed orders.
Securities Listed on The Nasdaq Stock Market
| Route Venues | Total (%) | Market (%) | Limit (%) | Other (%) |
|---|
| Total (%) | 100 |
42 |
34 |
24 |
| Knight Equity Markets |
52.46 |
47.94 |
61.58 |
47.49 |
| Auto Trading Desk Fin Svc |
40.87 |
44.30 |
33.47 |
45.31 |
| UBS Securities LLC |
6.67 |
7.77 |
4.95 |
7.20 |
99.86% of total customer orders were non-directed orders.
Securities Listed on NYSE Amex or Regional Exchanges
| Route Venues | Total (%) | Market (%) | Limit (%) | Other (%) |
|---|
| Total (%) | 100 |
55 |
21 |
25 |
| Knight Capital Markets |
53.46 |
55.16 |
57.39 |
46.47 |
| Auto Trading Desk Fin Svc |
45.61 |
44.32 |
41.85 |
51.56 |
99.97% of total customer orders were non-directed orders.
Exchange-Listed Options
| Route Venues | Total (%) | Market (%) | Limit (%) | Other (%) |
|---|
| Total (%) | 100 |
19 |
63 |
18 |
| Citigroup Global Markets |
100.00 |
100.00 |
100.00 |
100.00 |
100.00% of total customer orders were non-directed orders.
Material Aspects of Relationship with Route Venues
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