SEC Rule 606 Report
- New England Securities - 4th Qtr, 2009
(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 |
34 |
9 |
57 |
| Pershing, LLC |
83.52 |
82.45 |
78.52 |
84.94 |
| Knight Capital Markets |
6.03 |
5.71 |
5.75 |
6.26 |
| UBS Securities LLC |
4.70 |
4.77 |
7.03 |
4.30 |
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 |
34 |
9 |
57 |
| Pershing, LLC |
83.06 |
81.46 |
59.07 |
87.76 |
| Knight Equity Markets |
7.72 |
8.28 |
13.49 |
6.49 |
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 |
32 |
5 |
63 |
| Pershing, LLC |
73.33 |
76.54 |
57.41 |
72.97 |
| Knight Capital Markets |
15.20 |
12.22 |
12.96 |
16.92 |
| Citadel Derivatives Group |
4.08 |
3.20 |
11.48 |
3.93 |
100.00% of total customer orders were non-directed orders.
Exchange-Listed Options
| Route Venues | Total (%) | Market (%) | Limit (%) | Other (%) |
|---|
| Total (%) | 100 |
29 |
65 |
5 |
| Chicago Board OptionsExch |
40.38 |
52.56 |
34.10 |
50.00 |
| Internat'l Secs Exch |
23.02 |
11.54 |
26.59 |
42.86 |
| Philadelphia Exch |
18.87 |
23.08 |
17.92 |
7.14 |
| Archipelago Exchange |
9.81 |
7.69 |
11.56 |
.00 |
100.00% of total customer orders were non-directed orders.
Material Aspects of Relationship with Route Venues
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