SEC Rule 606 Report
- Emerging Growth Equities Ltd - 4th Qtr, 2011
(Percentages of Total Non-Directed Orders Routed to Individual Route Venues)
Securities Listed on New York Stock Exchange Euronext
| Route Venues | Total (%) | Market (%) | Limit (%) | Other (%) |
|---|
| Total (%) | 100 |
69 |
24 |
6 |
| National Financial |
98.94 |
100.00 |
100.00 |
83.33 |
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 |
54 |
38 |
8 |
| National Financial |
100.00 |
100.00 |
100.00 |
100.00 |
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 |
100 |
0 |
0 |
| National Financial |
100.00 |
100.00 |
0.00 |
0.00 |
100.00% of total customer orders were non-directed orders.
Exchange-Listed Options
| Route Venues | Total (%) | Market (%) | Limit (%) | Other (%) |
|---|
| Total (%) | 100 |
23 |
68 |
9 |
| Citadel Derivatives Group |
45.45 |
40.00 |
53.33 |
0.00 |
| Citigroup Global Markets |
31.82 |
30.00 |
23.33 |
100.00 |
| UBS Securities LLC |
18.18 |
10.00 |
23.33 |
0.00 |
100.00% of total customer orders were non-directed orders.
Material Aspects of Relationship with Route VenuesHow to read this report
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