SEC Rule 606 Report
- Legent Clearing, LLC - 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 |
8 |
0 |
92 |
| Knight Capital Americas |
42.07 |
17.08 |
0.00 |
44.42 |
| UBS Securities LLC |
29.00 |
44.17 |
75.00 |
27.51 |
| Auto Trading Desk Fin Svc |
19.67 |
38.75 |
25.00 |
17.96 |
| Citadel Derivatives Group |
9.09 |
0.00 |
0.00 |
9.93 |
| Maxim Group LLC |
0.14 |
0.00 |
0.00 |
0.15 |
| E*Trade Capital Markets, |
0.03 |
0.00 |
0.00 |
0.04 |
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 |
10 |
4 |
87 |
| Knight Capital Americas |
47.05 |
61.84 |
92.59 |
43.48 |
| Auto Trading Desk Fin Svc |
29.10 |
34.21 |
7.41 |
29.39 |
| UBS Securities LLC |
13.76 |
3.95 |
0.00 |
15.45 |
| Maxim Group LLC |
9.96 |
0.00 |
0.00 |
11.52 |
| E*Trade Capital Markets, |
0.13 |
0.00 |
0.00 |
0.15 |
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 |
25 |
1 |
73 |
| UBS Securities LLC |
46.80 |
52.68 |
66.67 |
44.37 |
| Knight Capital Americas |
33.37 |
14.15 |
16.67 |
40.34 |
| Auto Trading Desk Fin Svc |
18.47 |
33.17 |
16.67 |
13.45 |
| Citadel Derivatives Group |
1.23 |
0.00 |
0.00 |
1.68 |
| Maxim Group LLC |
0.12 |
0.00 |
0.00 |
0.17 |
100.00% of total customer orders were non-directed orders.
Exchange-Listed Options
| Route Venues | Total (%) | Market (%) | Limit (%) | Other (%) |
|---|
| Total (%) | 100 |
42 |
58 |
0 |
| Interactive Brokers LLC |
49.25 |
28.57 |
64.10 |
0.00 |
| Citigroup Global Markets |
44.78 |
67.86 |
28.21 |
0.00 |
| Knight Capital Americas |
5.97 |
3.57 |
7.69 |
0.00 |
100.00% of total customer orders were non-directed orders.
Material Aspects of Relationship with Route VenuesHow to read this report
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