SEC Rule 606 Report
- Needham & Co. Inc. - 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 |
1 |
91 |
8 |
| New York Stock Exch |
97 |
100 |
100 |
68 |
100% of total customer orders were non-directed orders.
Securities Listed on The Nasdaq Stock Market
| Route Venues | Total (%) | Market (%) | Limit (%) | Other (%) |
|---|
| Total (%) | 100 |
0 |
0 |
100 |
| Needham & Co Inc |
90 |
100 |
0 |
90 |
| LavaFlow (GOTO) |
9 |
0 |
0 |
9 |
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 |
0 |
0 |
100 |
| LavaFlow (GOTO) |
67 |
0 |
0 |
67 |
| Needham & Co Inc |
18 |
0 |
0 |
18 |
| American Stock Exchange |
10 |
0 |
0 |
10 |
100% of total customer orders were non-directed orders.
Exchange-Listed Options
No Covered Orders
Material Aspects of Relationship with Route Venues
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