SEC Rule 606 Report
- Mesirow Financial - 1st Qtr, 2013
(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 |
39 |
15 |
46 |
| Knight Capital Americas |
53.89 |
52.02 |
51.87 |
56.15 |
| Citigroup Global Markets |
41.01 |
45.46 |
29.68 |
40.91 |
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 |
33 |
30 |
36 |
| Knight Capital Americas |
55.84 |
50.26 |
72.90 |
46.73 |
| Citigroup Global Markets |
40.52 |
47.15 |
20.42 |
51.20 |
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 |
55 |
15 |
31 |
| Citigroup Global Markets |
66.06 |
74.39 |
39.23 |
64.07 |
| Knight Capital Americas |
33.59 |
25.48 |
60.77 |
35.01 |
100.00% of total customer orders were non-directed orders.
Exchange-Listed Options
| Route Venues | Total (%) | Market (%) | Limit (%) | Other (%) |
|---|
| Total (%) | 100 |
6 |
70 |
25 |
| Citigroup Global Markets |
63.81 |
62.00 |
51.26 |
100.00 |
| Citadel Securities LLC |
36.19 |
38.00 |
48.74 |
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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