SEC Rule 606 Report
- R. F. Lafferty & Co - 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 |
45 |
41 |
14 |
| Knight Capital Markets |
96.84 |
97.42 |
96.88 |
94.84 |
96.16% of total customer orders were non-directed orders.
Securities Listed on The Nasdaq Stock Market
| Route Venues | Total (%) | Market (%) | Limit (%) | Other (%) |
|---|
| Total (%) | 100 |
42 |
47 |
12 |
| UBS Securities LLC |
94.37 |
96.30 |
93.66 |
90.36 |
| Penson Finl Serv Inc a Di |
5.63 |
3.70 |
6.34 |
9.64 |
97.66% 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 |
74 |
4 |
| Knight Capital Markets |
96.56 |
96.69 |
97.06 |
87.04 |
98.31% of total customer orders were non-directed orders.
Exchange-Listed Options
| Route Venues | Total (%) | Market (%) | Limit (%) | Other (%) |
|---|
| Total (%) | 100 |
14 |
86 |
1 |
| Internat'l Secs Exch |
51.82 |
1.67 |
60.27 |
7.69 |
| Auto Trading Desk Fin Svc |
31.18 |
92.40 |
20.87 |
84.62 |
| Chicago Board OptionsExch |
11.27 |
2.71 |
12.69 |
7.69 |
100.00% of total customer orders were non-directed orders.
Material Aspects of Relationship with Route Venues
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