SEC Rule 606 Report
- Mesirow Financial - 2nd Qtr, 2010
(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 |
36 |
18 |
46 |
| Knight Capital Markets |
42.70 |
36.80 |
50.05 |
44.49 |
| Auto Trading Desk Fin Svc |
28.78 |
35.50 |
25.34 |
24.85 |
| New York Stock Exch |
28.41 |
27.69 |
24.07 |
30.62 |
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 |
32 |
43 |
25 |
| Knight Equity Markets |
66.91 |
58.85 |
78.50 |
56.93 |
| Auto Trading Desk Fin Svc |
27.70 |
36.55 |
16.42 |
36.14 |
| UBS Securities LLC |
5.38 |
4.60 |
5.08 |
6.93 |
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 |
54 |
12 |
34 |
| Auto Trading Desk Fin Svc |
59.51 |
53.83 |
78.79 |
62.00 |
| Knight Capital Markets |
39.36 |
45.14 |
21.21 |
36.33 |
100.00% of total customer orders were non-directed orders.
Exchange-Listed Options
| Route Venues | Total (%) | Market (%) | Limit (%) | Other (%) |
|---|
| Total (%) | 100 |
2 |
97 |
1 |
| Citigroup Global Markets |
100.00 |
100.00 |
100.00 |
100.00 |
100.00% of total customer orders were non-directed orders.
Material Aspects of Relationship with Route Venues
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