SEC Rule 606 Report
- R. F. Lafferty & Co - 4th Qtr, 2011
(Percentages of Total Non-Directed Orders Routed to Individual Route Venues)
Securities Listed on New York Stock Exchange Euronext
| Route Venues | Total (%) | Market (%) | Limit (%) | Other (%) |
|---|
| Total (%) | 100 |
31 |
61 |
8 |
| Penson Finl Serv Inc a Di |
72.57 |
80.05 |
65.20 |
100.00 |
| Archipelago LLC |
16.10 |
9.27 |
21.69 |
0.00 |
| CITI |
4.53 |
6.18 |
4.26 |
0.00 |
97.71% of total customer orders were non-directed orders.
Securities Listed on The Nasdaq Stock Market
| Route Venues | Total (%) | Market (%) | Limit (%) | Other (%) |
|---|
| Total (%) | 100 |
35 |
51 |
13 |
| Penson Finl Serv Inc a Di |
69.49 |
88.17 |
48.61 |
100.00 |
| Archipelago LLC |
9.90 |
5.13 |
15.79 |
0.00 |
| NASD |
9.67 |
0.00 |
18.89 |
0.00 |
| CITI |
6.81 |
5.58 |
9.44 |
0.00 |
98.44% of total customer orders were non-directed orders.
Securities Listed on NYSE Amex or Regional Exchanges
| Route Venues | Total (%) | Market (%) | Limit (%) | Other (%) |
|---|
| Total (%) | 100 |
30 |
60 |
10 |
| Penson Finl Serv Inc a Di |
99.78 |
100.00 |
99.64 |
100.00 |
97.78% of total customer orders were non-directed orders.
Exchange-Listed Options
| Route Venues | Total (%) | Market (%) | Limit (%) | Other (%) |
|---|
| Total (%) | 100 |
38 |
61 |
1 |
| Penson Finl Serv Inc a Di |
100.00 |
100.00 |
100.00 |
100.00 |
100.00% of total customer orders were non-directed orders.
Material Aspects of Relationship with Route VenuesHow to read this report
© Copyright 2012 Thomson Reuters.
All Rights Reserved.