SEC Rule 606 Report
- R. F. Lafferty & Co - 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 |
50 |
41 |
9 |
| Knight Capital Markets |
100.00 |
100.00 |
100.00 |
100.00 |
98.06% of total customer orders were non-directed orders.
Securities Listed on The Nasdaq Stock Market
| Route Venues | Total (%) | Market (%) | Limit (%) | Other (%) |
|---|
| Total (%) | 100 |
40 |
52 |
8 |
| UBS Securities LLC |
97.95 |
98.77 |
97.74 |
95.40 |
97.90% of total customer orders were non-directed orders.
Securities Listed on NYSE Amex or Regional Exchanges
| Route Venues | Total (%) | Market (%) | Limit (%) | Other (%) |
|---|
| Total (%) | 100 |
42 |
54 |
5 |
| Knight Capital Markets |
99.87 |
100.00 |
99.75 |
100.00 |
99.21% of total customer orders were non-directed orders.
Exchange-Listed Options
| Route Venues | Total (%) | Market (%) | Limit (%) | Other (%) |
|---|
| Total (%) | 100 |
1 |
98 |
1 |
| Internat'l Secs Exch |
52.91 |
30.00 |
53.69 |
9.09 |
| Chicago Board OptionsExch |
17.89 |
20.00 |
17.09 |
81.82 |
| Pacific Stock Exch |
17.56 |
10.00 |
17.86 |
0.00 |
| Philadelphia Exch |
6.14 |
10.00 |
6.06 |
9.09 |
100.00% of total customer orders were non-directed orders.
Material Aspects of Relationship with Route Venues
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