SEC Rule 606 Report
- Bishop, Rosen & Co. - 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 |
29 |
48 |
24 |
| Knight Capital Markets |
59.73 |
38.90 |
64.61 |
74.93 |
| New York Stock Exch |
28.43 |
59.35 |
14.34 |
19.60 |
| Archipelago Exchange |
7.42 |
1.41 |
12.74 |
3.98 |
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 |
23 |
56 |
21 |
| Knight Equity Markets |
73.63 |
98.42 |
68.19 |
60.35 |
| UBS Securities LLC |
23.05 |
0.35 |
29.67 |
30.86 |
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 |
48 |
34 |
18 |
| Knight Capital Markets |
62.05 |
68.55 |
60.27 |
48.36 |
| UBS Securities LLC |
23.04 |
21.70 |
16.52 |
38.52 |
| NYSE Amex |
12.20 |
8.49 |
19.20 |
9.02 |
100.00% of total customer orders were non-directed orders.
Exchange-Listed Options
| Route Venues | Total (%) | Market (%) | Limit (%) | Other (%) |
|---|
| Total (%) | 100 |
3 |
97 |
0 |
| Internat'l Secs Exch |
53.13 |
62.50 |
52.83 |
50.00 |
| Chicago Board OptionsExch |
28.21 |
9.38 |
28.90 |
0.00 |
| Interactive Brokers LLC |
5.21 |
1.56 |
5.34 |
0.00 |
| Archipelago Exchange |
4.75 |
0.00 |
4.92 |
0.00 |
100.00% of total customer orders were non-directed orders.
Material Aspects of Relationship with Route Venues
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