SEC Rule 606 Report
- Access Financial Group - 2nd 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 |
13 |
1 |
86 |
| New York Stock Exch |
100 |
100 |
100 |
100 |
100% of total customer orders were non-directed orders.
Securities Listed on The Nasdaq Stock Market
| Route Venues | Total (%) | Market (%) | Limit (%) | Other (%) |
|---|
| Total (%) | 100 |
54 |
19 |
27 |
| Bear, Stearns & Co |
100 |
100 |
100 |
100 |
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 |
5 |
3 |
92 |
| American Stock Exchange |
100 |
100 |
100 |
100 |
100% of total customer orders were non-directed orders.
Exchange-Listed Options
| Route Venues | Total (%) | Market (%) | Limit (%) | Other (%) |
|---|
| Total (%) | 100 |
6 |
94 |
0 |
| Chicago Board OptionsExch |
52 |
75 |
51 |
0 |
| Internat'l Secs Exch |
23 |
0 |
24 |
0 |
| American Stock Exchange |
18 |
0 |
19 |
0 |
| Philadelphia Exch |
6 |
25 |
4 |
0 |
100% of total customer orders were non-directed orders.
Material Aspects of Relationship with Route Venues
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