SEC Rule 606 Report
- Financial Northeastern Sec Inc - 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 |
28 |
21 |
50 |
| New York Stock Exch |
98 |
100 |
99 |
97 |
100% of total customer orders were non-directed orders.
Securities Listed on The Nasdaq Stock Market
| Route Venues | Total (%) | Market (%) | Limit (%) | Other (%) |
|---|
| Total (%) | 100 |
27 |
57 |
16 |
| Knight Equity Markets |
99 |
99 |
100 |
95 |
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 |
15 |
17 |
68 |
| American Stock Exchange |
91 |
100 |
97 |
88 |
| Knight Equity Markets |
9 |
0 |
3 |
12 |
100% of total customer orders were non-directed orders.
Exchange-Listed Options
| Route Venues | Total (%) | Market (%) | Limit (%) | Other (%) |
|---|
| Total (%) | 100 |
3 |
96 |
0 |
| Internat'l Secs Exch |
48 |
47 |
48 |
100 |
| Chicago Board OptionsExch |
27 |
37 |
27 |
0 |
| American Stock Exchange |
23 |
5 |
23 |
0 |
100% of total customer orders were non-directed orders.
Material Aspects of Relationship with Route Venues
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