SEC Rule 606 Report
- MetLife - 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 |
46 |
5 |
49 |
| Pershing, LLC |
87.94 |
84.54 |
81.65 |
91.84 |
| Knight Capital Markets |
4.81 |
5.28 |
5.04 |
4.34 |
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 |
43 |
7 |
51 |
| Pershing, LLC |
88.07 |
88.05 |
63.86 |
91.23 |
| Knight Equity Markets |
5.87 |
5.35 |
13.04 |
5.37 |
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 |
38 |
1 |
61 |
| Pershing, LLC |
75.45 |
72.48 |
66.12 |
77.46 |
| Knight Capital Markets |
12.05 |
13.92 |
10.74 |
10.90 |
| Citadel Derivatives Group |
5.17 |
4.84 |
5.79 |
5.36 |
100.00% of total customer orders were non-directed orders.
Exchange-Listed Options
| Route Venues | Total (%) | Market (%) | Limit (%) | Other (%) |
|---|
| Total (%) | 100 |
35 |
65 |
0 |
| Chicago Board OptionsExch |
39.67 |
50.00 |
34.18 |
.00 |
| Philadelphia Exch |
24.79 |
16.67 |
29.11 |
.00 |
| Internat'l Secs Exch |
15.70 |
21.43 |
12.66 |
.00 |
| Archipelago Exchange |
10.74 |
.00 |
16.46 |
.00 |
| NYSE Amex |
5.79 |
2.38 |
7.59 |
.00 |
100.00% of total customer orders were non-directed orders.
Material Aspects of Relationship with Route Venues
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