SEC Rule 606 Report - Emerging Growth Equities Ltd - 4th Qtr, 2009
(Percentages of Total Non-Directed Orders Routed to Individual Route Venues)

Securities Listed on New York Stock Exchange
Route VenuesTotal (%)Market (%)Limit (%)Other (%)
Total (%)100 47 7 46
Emerging Growth Equities 27.11 0.00 0.00 59.21
Knight Capital Markets 24.70 33.33 66.67 9.21
National Financial 22.89 32.05 33.33 11.84
UBS Securities LLC 10.84 16.67 0.00 6.58
Citadel Derivatives Group 6.63 11.54 0.00 2.63
100.00% of total customer orders were non-directed orders.

Securities Listed on The Nasdaq Stock Market
Route VenuesTotal (%)Market (%)Limit (%)Other (%)
Total (%)100 35 9 55
Emerging Growth Equities 51.19 0.00 0.00 92.38
National Financial 20.84 44.78 48.57 0.95
UBS Securities LLC 11.61 29.10 11.43 0.48
Auto Trading Desk Fin Svc 4.22 8.96 11.43 0.00
Knight Equity Markets 4.22 6.72 17.14 0.48
100.00% of total customer orders were non-directed orders.

Securities Listed on NYSE Amex or Regional Exchanges
Route VenuesTotal (%)Market (%)Limit (%)Other (%)
Total (%)100 7 8 85
Emerging Growth Equities 68.75 0.00 0.00 80.49
Archipelago LLC 12.50 0.00 0.00 14.63
National Financial 7.64 30.00 36.36 3.25
Knight Capital Markets 6.94 30.00 63.64 0.00
100.00% of total customer orders were non-directed orders.

Exchange-Listed Options
Route VenuesTotal (%)Market (%)Limit (%)Other (%)
Total (%)100 11 89 0
Citadel Derivatives Group 67.09 0.00 75.71 0.00
UBS Securities LLC 17.72 22.22 17.14 0.00
Citigroup Global Markets 10.13 55.56 4.29 0.00
Interactive Brokers LLC 5.06 22.22 2.86 0.00
100.00% of total customer orders were non-directed orders.


Material Aspects of Relationship with Route Venues
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