SEC Rule 606 Report
- Brill Securities - 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 |
17 |
21 |
63 |
| JP Morgan Securities |
93.99 |
98.87 |
98.50 |
91.22 |
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 |
31 |
51 |
18 |
| JP Morgan Securities |
85.34 |
96.81 |
89.26 |
54.01 |
| Nasdaq Exchange |
8.76 |
0.00 |
6.97 |
29.23 |
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 |
18 |
22 |
61 |
| JP Morgan Securities |
87.25 |
97.08 |
95.15 |
81.55 |
| Nasdaq Exchange |
8.99 |
0.00 |
1.94 |
14.14 |
100.00% of total customer orders were non-directed orders.
Exchange-Listed Options
| Route Venues | Total (%) | Market (%) | Limit (%) | Other (%) |
|---|
| Total (%) | 100 |
27 |
73 |
0 |
| Chicago Board OptionsExch |
56.58 |
53.92 |
57.55 |
0.00 |
| Intl Securities Exchange |
18.16 |
32.35 |
12.95 |
0.00 |
| Philadelphia Exch |
11.32 |
4.90 |
13.67 |
0.00 |
| Archipelago Exchange |
7.37 |
5.88 |
7.91 |
0.00 |
| NYSE Amex |
6.58 |
2.94 |
7.91 |
0.00 |
100.00% of total customer orders were non-directed orders.
Material Aspects of Relationship with Route Venues
How to read this report
© Copyright 2010 Thomson Reuters.
All Rights Reserved.