SEC Rule 606 Report
- Access Financial Group - 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 |
15 |
3 |
82 |
| 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 |
66 |
3 |
32 |
| JP Morgan Securities |
94.52 |
95.83 |
100.00 |
91.30 |
| UBS Securities LLC |
5.48 |
4.17 |
0.00 |
8.70 |
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 |
5 |
0 |
95 |
| Archipelago Exchange |
89.47 |
100.00 |
0.00 |
88.89 |
| NYSE Amex |
10.53 |
0.00 |
0.00 |
11.11 |
100.00% of total customer orders were non-directed orders.
Exchange-Listed Options
| Route Venues | Total (%) | Market (%) | Limit (%) | Other (%) |
|---|
| Total (%) | 100 |
0 |
100 |
0 |
| Intl Securities Exchange |
38.57 |
0.00 |
38.57 |
0.00 |
| Chicago Board OptionsExch |
37.14 |
0.00 |
37.14 |
0.00 |
| NYSE Amex |
14.29 |
0.00 |
14.29 |
0.00 |
| Philadelphia Exch |
10.00 |
0.00 |
10.00 |
0.00 |
100.00% of total customer orders were non-directed orders.
Material Aspects of Relationship with Route Venues
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