SEC Rule 606 Report
- New England Securities - 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 |
33 |
6 |
61 |
| Pershing, LLC |
70.62 |
65.93 |
78.26 |
72.35 |
| Knight Capital Markets |
11.22 |
10.35 |
7.45 |
12.08 |
| Auto Trading Desk Fin Svc |
10.26 |
11.86 |
6.96 |
9.75 |
| UBS Securities LLC |
6.75 |
10.21 |
5.09 |
5.05 |
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 |
26 |
8 |
66 |
| Pershing, LLC |
91.28 |
89.21 |
80.91 |
93.33 |
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 |
36 |
5 |
59 |
| Pershing, LLC |
83.83 |
85.45 |
65.29 |
84.44 |
| Knight Capital Markets |
8.56 |
7.22 |
12.86 |
9.00 |
100.00% of total customer orders were non-directed orders.
Exchange-Listed Options
| Route Venues | Total (%) | Market (%) | Limit (%) | Other (%) |
|---|
| Total (%) | 100 |
42 |
54 |
4 |
| Chicago Board OptionsExch |
41.58 |
37.25 |
42.50 |
73.33 |
| Internat'l Secs Exch |
17.39 |
19.61 |
15.50 |
20.00 |
| Archipelago Exchange |
13.04 |
6.54 |
19.00 |
0.00 |
| Philadelphia Exch |
12.77 |
14.38 |
12.50 |
0.00 |
| NYSE Amex |
11.68 |
15.69 |
9.50 |
0.00 |
100.00% of total customer orders were non-directed orders.
Material Aspects of Relationship with Route Venues
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