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 Venues | Total (%) | 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 Venues | Total (%) | 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 Venues | Total (%) | 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 Venues | Total (%) | 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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