Routing Information
Customer access to order routing information per SEC Rule 606.
Customers of broker-dealers have the right to request the identity of the venues to which their non-directed orders were routed for execution. There are no special relationships with any of the venues other than possibly a favorable decision on a disputed trade error. A written explanation for any trade can be furnished upon customer request.
Q3 2008
| NYSE Securities | ||||||
| Non Directed Orders | Market Orders | Limit Orders | Other orders | Material Aspects of Relationship | ||
| Total FASI Orders | 99.60% | 55.20% | 44.30% | 0.50% | ||
| Orders routed to: | ||||||
| Automated Trading Desk | 74.02% | 72.73% | 76.13% | 27.67% | NONE | |
| Knight Capital Markets | 16.47% | 16.83% | 16.06% | 13.57% | NONE | |
| Madoff Investment Securities | 7.81 | 8.71 | 6.32 | 41.36% | NONE | |
| Nasdaq Securities | ||||||
| Non Directed Orders | Market Orders | Limit Orders | Other orders | Material Aspects of Relationship | ||
| Total FASI orders | 51.60% | 58.30% | 41.10% | 0.60% | ||
| Orders Routed To: | ||||||
| Knight Capital Markets | 51.60% | 64.03% | 34.63% | 4.31% | NONE | |
| Automated Trading Desk | 27.01% | 19.02% | 37.94% | 56.86% | NONE | |
| Citadel Derivative Group | 19.05% | 14.93% | 24.64% | 37.84% | NONE | |
| American/Regional Ex. Sec. | ||||||
| Non Directed Orders | Market Orders | Limit Orders | Other orders | Material Aspects of Relationship | ||
| Total FASI orders | 99.10% | 39.40% | 58.40% | 2.20% | ||
| Orders Routed To: | ||||||
| Automated Trading Desk | 90.74% | 89.04% | 91.72% | 95.34% | NONE | |
| Listed Options | ||||||
| Non Directed Orders | Market Orders | Limit Orders | Other orders | Material Aspects of Relationship | ||
| Total FASI orders | 100.00% | 13.50% | 83.50% | 3.00% | ||
| Orders Routed To: | ||||||
| Chicago Board Options Ex | 53.86% | 36.29% | 56.81% | 50.87% | NONE | |
| Philadelphia Stock Exch. | 11.64% | 17.29% | 10.96% | 5.15% | NONE | |
| Int'l Securities Exch. | 14.81% | 11.71% | 14.63% | 33.58% | NONE | |
| NASDAQ Options Market | 6.50% | 7.55% | 6.50% | 193.00% | ||
| Boston Options Exch. | 6.25% | 12.49% | 5.36% | 2.85% | NONE | |
