SEC Rule 606 Report
- Financial Northeastern Sec Inc - 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 |
16 |
16 |
68 |
| J.P. Morgan Securities In |
88.24 |
95.27 |
95.43 |
84.84 |
| Knight Capital Markets |
5.36 |
1.78 |
1.71 |
7.09 |
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 |
34 |
52 |
14 |
| JP Morgan Securities |
66.57 |
78.15 |
64.56 |
45.92 |
| J.P. Morgan Securities In |
17.00 |
18.07 |
18.68 |
8.16 |
| UBS Securities LLC |
10.71 |
2.10 |
13.19 |
22.45 |
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 |
21 |
17 |
61 |
| J.P. Morgan Securities In |
84.52 |
91.67 |
75.86 |
84.47 |
| Maxim Group LLC |
8.33 |
0.00 |
13.79 |
9.71 |
100.00% of total customer orders were non-directed orders.
Exchange-Listed Options
| Route Venues | Total (%) | Market (%) | Limit (%) | Other (%) |
|---|
| Total (%) | 100 |
24 |
76 |
0 |
| Intl Securities Exchange |
49.00 |
54.17 |
47.37 |
0.00 |
| Chicago Board OptionsExch |
32.00 |
33.33 |
31.58 |
0.00 |
| Pacific Coast Option Exch |
11.00 |
0.00 |
14.47 |
0.00 |
100.00% of total customer orders were non-directed orders.
Material Aspects of Relationship with Route Venues
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