SEC Rule 606 Report
- Mesirow Financial - 1st 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 |
41 |
13 |
45 |
| New York Stock Exch |
61 |
62 |
74 |
57 |
| Knight Capital Markets |
23 |
18 |
15 |
30 |
| Auto Trading Desk Fin Svc |
15 |
20 |
10 |
13 |
100% of total customer orders were non-directed orders.
Securities Listed on The Nasdaq Stock Market
| Route Venues | Total (%) | Market (%) | Limit (%) | Other (%) |
|---|
| Total (%) | 100 |
32 |
41 |
28 |
| Knight Equity Markets |
38 |
41 |
30 |
47 |
| Auto Trading Desk Fin Svc |
36 |
51 |
23 |
39 |
| UBS Securities LLC |
26 |
8 |
48 |
13 |
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 |
40 |
14 |
46 |
| American Stock Exchange |
50 |
41 |
72 |
51 |
| Knight Capital Markets |
21 |
27 |
2 |
22 |
| Auto Trading Desk Fin Svc |
18 |
19 |
26 |
16 |
| New York Stock Exch |
11 |
13 |
1 |
12 |
100% of total customer orders were non-directed orders.
Exchange-Listed Options
| Route Venues | Total (%) | Market (%) | Limit (%) | Other (%) |
|---|
| Total (%) | 100 |
5 |
81 |
14 |
| Citigroup Global Markets |
100 |
100 |
100 |
100 |
100% of total customer orders were non-directed orders.
Material Aspects of Relationship with Route Venues
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