SEC Rule 606 Report
- Access Financial Group - 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 |
14 |
3 |
83 |
| New York Stock Exch |
100.00 |
100.00 |
100.00 |
100.00 |
100.00% of total customer orders were non-directed orders.
Securities Listed on The Nasdaq Stock Market
| Route Venues | Total (%) | Market (%) | Limit (%) | Other (%) |
|---|
| Total (%) | 100 |
68 |
1 |
30 |
| JP Morgan Securities |
88.41 |
87.23 |
0.00 |
95.24 |
| UBS Securities LLC |
7.25 |
8.51 |
0.00 |
4.76 |
100.00% of total customer orders were non-directed orders.
Securities Listed on NYSE Amex or Regional Exchanges
| Route Venues | Total (%) | Market (%) | Limit (%) | Other (%) |
|---|
| Total (%) | 100 |
11 |
0 |
89 |
| Archipelago Exchange |
100.00 |
100.00 |
0.00 |
100.00 |
100.00% of total customer orders were non-directed orders.
Exchange-Listed Options
| Route Venues | Total (%) | Market (%) | Limit (%) | Other (%) |
|---|
| Total (%) | 100 |
23 |
77 |
0 |
| Chicago Board OptionsExch |
46.43 |
53.85 |
44.19 |
0.00 |
| Philadelphia Exch |
25.00 |
15.38 |
27.91 |
0.00 |
| Intl Securities Exchange |
19.64 |
15.38 |
20.93 |
0.00 |
| NYSE Amex |
8.93 |
15.38 |
6.98 |
0.00 |
100.00% of total customer orders were non-directed orders.
Material Aspects of Relationship with Route Venues
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