SEC Rule 606 Report
- MetLife - 3rd Qtr, 2008
(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 |
42 |
6 |
52 |
| Pershing, LLC |
62 |
58 |
48 |
68 |
| Knight Capital Markets |
13 |
13 |
15 |
14 |
| Auto Trading Desk Fin Svc |
10 |
10 |
11 |
9 |
| UBS Securities LLC |
8 |
13 |
18 |
3 |
100% of total customer orders were non-directed orders.
Securities Listed on The Nasdaq Stock Market
| Route Venues | Total (%) | Market (%) | Limit (%) | Other (%) |
|---|
| Total (%) | 100 |
38 |
8 |
54 |
| Pershing, LLC |
57 |
62 |
42 |
55 |
| Knight Equity Markets |
19 |
17 |
17 |
20 |
| UBS Securities LLC |
14 |
13 |
15 |
14 |
| Auto Trading Desk Fin Svc |
7 |
5 |
8 |
8 |
100% of total customer orders were non-directed orders.
Securities Listed on American Stock Exchange or Regional Exchanges
| Route Venues | Total (%) | Market (%) | Limit (%) | Other (%) |
|---|
| Total (%) | 100 |
38 |
2 |
60 |
| Knight Capital Markets |
49 |
44 |
40 |
53 |
| Citadel Derivatives Group |
30 |
24 |
26 |
34 |
| UBS Securities LLC |
12 |
25 |
28 |
4 |
100% of total customer orders were non-directed orders.
Exchange-Listed Options
| Route Venues | Total (%) | Market (%) | Limit (%) | Other (%) |
|---|
| Total (%) | 100 |
15 |
84 |
1 |
| Chicago Board OptionsExch |
42 |
42 |
42 |
43 |
| Philadelphia Exch |
30 |
19 |
32 |
29 |
| Internat'l Secs Exch |
18 |
17 |
18 |
29 |
| Archipelago Exchange |
7 |
15 |
6 |
0 |
100% of total customer orders were non-directed orders.
Material Aspects of Relationship with Route Venues
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