SEC Rule 606 Report
- Emerging Growth Equities Ltd - 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 |
62 |
23 |
15 |
| New York Stock Exch |
26 |
17 |
62 |
4 |
| Knight Capital Markets |
25 |
36 |
5 |
12 |
| Auto Trading Desk Fin Svc |
17 |
20 |
5 |
22 |
| Citadel Derivatives Group |
9 |
10 |
5 |
10 |
| National Financial Servic |
7 |
4 |
18 |
2 |
| UBS Securities LLC |
6 |
7 |
5 |
4 |
| Archipelago LLC |
5 |
0 |
0 |
32 |
100% of total customer orders were non-directed orders.
Securities Listed on The Nasdaq Stock Market
| Route Venues | Total (%) | Market (%) | Limit (%) | Other (%) |
|---|
| Total (%) | 100 |
43 |
29 |
28 |
| Knight Equity Markets |
30 |
42 |
36 |
4 |
| Emerging Growth Equities |
22 |
0 |
2 |
76 |
| Citadel Derivatives Group |
16 |
11 |
33 |
5 |
| Auto Trading Desk Fin Svc |
13 |
23 |
7 |
4 |
| UBS Securities LLC |
9 |
13 |
14 |
0 |
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 |
76 |
8 |
16 |
| Knight Capital Markets |
40 |
46 |
32 |
21 |
| Citadel Derivatives Group |
19 |
23 |
5 |
3 |
| Bernard L. Madoff |
19 |
13 |
47 |
33 |
| UBS Securities LLC |
9 |
11 |
0 |
0 |
| Auto Trading Desk Fin Svc |
7 |
6 |
16 |
10 |
100% of total customer orders were non-directed orders.
Exchange-Listed Options
| Route Venues | Total (%) | Market (%) | Limit (%) | Other (%) |
|---|
| Total (%) | 100 |
9 |
91 |
0 |
| Citigroup Global Markets |
45 |
0 |
50 |
0 |
| Chicago Board OptionsExch |
19 |
100 |
12 |
0 |
| Citadel Derivatives Group |
15 |
0 |
17 |
0 |
| Interactive Brokers LLC |
12 |
0 |
14 |
0 |
100% of total customer orders were non-directed orders.
Material Aspects of Relationship with Route Venues
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