SEC Rule 606 Report
- Emerging Growth Equities Ltd - 2nd Qtr, 2010
(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 |
12 |
2 |
86 |
| Emerging Growth Equities |
74.63 |
0.00 |
0.00 |
87.21 |
| National Financial |
6.97 |
41.67 |
60.00 |
0.58 |
| CHAS |
6.47 |
0.00 |
0.00 |
7.56 |
| UBS Securities LLC |
6.47 |
37.50 |
0.00 |
2.33 |
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 |
13 |
14 |
73 |
| Emerging Growth Equities |
64.56 |
0.00 |
0.00 |
88.44 |
| National Financial |
16.88 |
45.16 |
75.76 |
0.58 |
| Citadel Derivatives Group |
5.49 |
25.81 |
12.12 |
0.58 |
| UBS Securities LLC |
5.06 |
19.35 |
3.03 |
2.89 |
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 |
4 |
27 |
69 |
| Emerging Growth Equities |
64.15 |
0.00 |
0.00 |
93.15 |
| National Financial |
33.02 |
100.00 |
96.55 |
4.11 |
100.00% of total customer orders were non-directed orders.
Exchange-Listed Options
| Route Venues | Total (%) | Market (%) | Limit (%) | Other (%) |
|---|
| Total (%) | 100 |
0 |
100 |
0 |
| Susquehanna Investment Gp |
40.00 |
0.00 |
40.00 |
0.00 |
| Citadel Derivatives Group |
20.00 |
0.00 |
20.00 |
0.00 |
| Citigroup Global Markets |
20.00 |
0.00 |
20.00 |
0.00 |
| UBS Securities LLC |
20.00 |
0.00 |
20.00 |
0.00 |
100.00% of total customer orders were non-directed orders.
Material Aspects of Relationship with Route Venues
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