SEC Rule 606 Report
- Brill Securities - 3rd 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 |
24 |
63 |
| Knight Capital Markets |
91 |
100 |
97 |
87 |
| Nasdaq Exchange |
6 |
0 |
0 |
9 |
100% of total customer orders were non-directed orders.
Securities Listed on The Nasdaq Stock Market
| Route Venues | Total (%) | Market (%) | Limit (%) | Other (%) |
|---|
| Total (%) | 100 |
24 |
60 |
16 |
| Bear, Stearns & Co |
90 |
100 |
93 |
65 |
| Nasdaq Exchange |
10 |
0 |
7 |
33 |
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 |
13 |
14 |
73 |
| Knight Capital Markets |
97 |
100 |
100 |
96 |
100% of total customer orders were non-directed orders.
Exchange-Listed Options
| Route Venues | Total (%) | Market (%) | Limit (%) | Other (%) |
|---|
| Total (%) | 100 |
22 |
78 |
0 |
| Chicago Board OptionsExch |
53 |
46 |
55 |
0 |
| Philadelphia Exch |
21 |
6 |
25 |
0 |
| Internat'l Secs Exch |
19 |
34 |
16 |
0 |
100% of total customer orders were non-directed orders.
Material Aspects of Relationship with Route Venues
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