SEC Rule 606 Report
- Needham & Co. Inc. - 4th Qtr, 2011
(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 |
0 |
0 |
100 |
| JP Morgan Securities |
38.39 |
0.00 |
0.00 |
38.39 |
| New York Stock Exch |
17.61 |
0.00 |
0.00 |
17.61 |
| Nasdaq Execution Services |
15.84 |
0.00 |
0.00 |
15.84 |
| Archipelago LLC |
12.41 |
0.00 |
0.00 |
12.41 |
| NYSE Arca |
4.92 |
0.00 |
0.00 |
4.92 |
| Barcalys Capital INC |
3.29 |
0.00 |
0.00 |
3.29 |
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 |
0 |
0 |
100 |
| Needham & Co Inc |
96.09 |
0.00 |
0.00 |
96.09 |
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 |
0 |
0 |
100 |
| JP Morgan Securities |
31.06 |
0.00 |
0.00 |
31.06 |
| Archipelago LLC |
29.99 |
0.00 |
0.00 |
29.99 |
| NYSE Arca |
13.79 |
0.00 |
0.00 |
13.79 |
| Nasdaq Execution Services |
7.50 |
0.00 |
0.00 |
7.50 |
| BATS Stock Exchange |
5.76 |
0.00 |
0.00 |
5.76 |
| NYSE Amex |
4.69 |
0.00 |
0.00 |
4.69 |
100.00% of total customer orders were non-directed orders.
Exchange-Listed Options
| Route Venues | Total (%) | Market (%) | Limit (%) | Other (%) |
|---|
| Total (%) | 100 |
0 |
91 |
9 |
| NASDAQ OMX PHLX |
46.66 |
0.00 |
51.42 |
0.18 |
| BATS Stock Exchange |
23.18 |
0.00 |
25.55 |
0.00 |
| Philadelphia Exch |
13.03 |
0.00 |
13.06 |
12.72 |
| NYSE Amex |
9.99 |
0.00 |
6.75 |
41.67 |
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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