SEC Rule 606 Report
- Needham & Co. Inc. - 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 |
4 |
15 |
81 |
| New York Stock Exch |
76.39 |
100.00 |
100.00 |
70.92 |
| Nasdaq Execution Services |
11.53 |
0.00 |
0.00 |
14.21 |
| Archipelago LLC |
4.71 |
0.00 |
0.00 |
5.80 |
| Bats Trading Inc |
1.87 |
0.00 |
0.00 |
2.30 |
| LAVAFLOW, INC. |
1.80 |
0.00 |
0.00 |
2.21 |
| |
1.19 |
0.00 |
0.00 |
1.46 |
| Credit Suisse |
1.01 |
0.00 |
0.00 |
1.24 |
| Barcalys Capital INC |
1.01 |
0.00 |
0.00 |
1.24 |
| LavaFlow (GOTO) |
0.32 |
0.00 |
0.00 |
0.40 |
| Nyfix Millenium LLC |
0.18 |
0.00 |
0.00 |
0.22 |
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 |
99.01 |
0.00 |
0.00 |
99.01 |
| Archipelago LLC |
0.40 |
0.00 |
0.00 |
0.40 |
| Nasdaq Execution Services |
0.33 |
0.00 |
0.00 |
0.33 |
| Bats Trading Inc |
0.08 |
0.00 |
0.00 |
0.08 |
| Credit Suisse |
0.06 |
0.00 |
0.00 |
0.06 |
| LAVAFLOW, INC. |
0.04 |
0.00 |
0.00 |
0.04 |
| Barcalys Capital INC |
0.04 |
0.00 |
0.00 |
0.04 |
| |
0.02 |
0.00 |
0.00 |
0.02 |
| LavaFlow (GOTO) |
0.01 |
0.00 |
0.00 |
0.01 |
| Donaldson,Lufkin,Jen |
0.01 |
0.00 |
75.00 |
0.00 |
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 |
| Archipelago LLC |
43.68 |
0.00 |
0.00 |
43.76 |
| Nasdaq Execution Services |
23.23 |
0.00 |
0.00 |
23.28 |
| Bats Trading Inc |
13.38 |
0.00 |
0.00 |
13.41 |
| NYSE Amex |
3.90 |
0.00 |
100.00 |
3.72 |
| New York Stock Exch |
3.72 |
0.00 |
0.00 |
3.72 |
| LAVAFLOW, INC. |
3.53 |
0.00 |
0.00 |
3.54 |
| Needham & Co Inc |
3.16 |
0.00 |
0.00 |
3.17 |
| Barcalys Capital INC |
2.42 |
0.00 |
0.00 |
2.42 |
| |
1.86 |
0.00 |
0.00 |
1.86 |
| LavaFlow (GOTO) |
0.74 |
0.00 |
0.00 |
0.74 |
100.00% of total customer orders were non-directed orders.
Exchange-Listed Options
| Route Venues | Total (%) | Market (%) | Limit (%) | Other (%) |
|---|
| Total (%) | 100 |
0 |
96 |
4 |
| Pacific Stock Exch |
21.17 |
0.00 |
22.10 |
0.00 |
| Chicago Board OptionsExch |
19.60 |
0.00 |
17.04 |
78.26 |
| Philadelphia Exch |
14.79 |
0.00 |
15.30 |
3.16 |
| Internat'l Secs Exch |
13.04 |
0.00 |
12.86 |
17.00 |
| NYSE Amex |
11.28 |
0.00 |
11.77 |
0.00 |
| Archipelago Exchange |
10.64 |
0.00 |
11.10 |
0.00 |
| Nasdaq Exchange |
3.94 |
0.00 |
4.11 |
0.00 |
| Nasdaq Option Market |
3.72 |
0.00 |
3.88 |
0.00 |
| |
0.99 |
0.00 |
1.04 |
0.00 |
| Boston Options Exchange |
0.83 |
0.00 |
0.79 |
1.58 |
89.90% of total customer orders were non-directed orders.
Material Aspects of Relationship with Route Venues
How to read this report
© Copyright 2010 Thomson Reuters.
All Rights Reserved.