SEC Rule 606 Report
- Financial Northeastern Sec Inc - 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 |
19 |
26 |
55 |
| JP Morgan Securities |
89.93 |
95.67 |
96.85 |
84.70 |
| Knight Capital Markets |
8.27 |
4.33 |
1.89 |
12.63 |
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 |
36 |
50 |
13 |
| JP Morgan Securities |
84.32 |
93.16 |
87.07 |
50.00 |
| UBS Securities LLC |
7.46 |
5.26 |
6.84 |
15.71 |
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 |
19 |
21 |
59 |
| JP Morgan Securities |
94.91 |
95.24 |
91.30 |
96.09 |
100.00% of total customer orders were non-directed orders.
Exchange-Listed Options
| Route Venues | Total (%) | Market (%) | Limit (%) | Other (%) |
|---|
| Total (%) | 100 |
4 |
96 |
0 |
| Intl Securities Exchange |
45.35 |
42.86 |
45.45 |
0.00 |
| Chicago Board OptionsExch |
27.04 |
35.71 |
26.69 |
0.00 |
| NYSE Amex |
20.00 |
14.29 |
20.23 |
0.00 |
| Philadelphia Exch |
6.20 |
7.14 |
6.16 |
0.00 |
100.00% of total customer orders were non-directed orders.
Material Aspects of Relationship with Route Venues
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