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.
Q4 2009
NYSE Securities
| Non Directed Orders | Market Orders | Limit Orders | Other orders | Material Aspects of Relationship | |
| Total FASI Orders | 99.70% | 34.80% | 64.80% | .4 | |
| Orders routed to: | |||||
| Automated Trading Desk | 80.58% | 77.40% | 82.58% | 33.95% | NONE |
| Knight Capital Markets | 14.12% | 12.60% | 14.78% | 39.23% | NONE |
Nasdaq Securities
| Non Directed Orders | Market Orders | Limit Orders | Other orders | Material Aspects of Relationship | |
| Total FASI orders | 96.20% | 52.40% | 46.50% | 1.1 | |
| Orders Routed To: | |||||
| Knight Capital Markets | 25.65% | 17.88% | 34.05% | 41.09% | NONE |
| Automated Trading Desk | 53.10% | 61.32% | 44.86% | 7.58% | NONE |
| Citadel Derivative Group | 19.67% | 19.16% | 19.55% | 49.64% | NONE |
American/Regional Ex. Sec.
| Non Directed Orders | Market Orders | Limit Orders | Other orders | Material Aspects of Relationship | |
| Total FASI orders | 99.80% | 41.50% | 56.80% | 1.70% | |
| Orders Routed To: | |||||
| Automated Trading Desk | 67.91% | 57.54% | 76.97% | 19.08% | NONE |
| Knight Capital Markets | 31.12% | 41.76% | 21.84% | 80.92% | NONE |
Listed Options
| Non Directed Orders | Market Orders | Limit Orders | Other orders | Material Aspects of Relationship | |
| Total FASI orders | 100.00% | 17.60% | 78.10% | 4.40% | |
| Orders Routed To: | |||||
| Chicago Board Options Ex | 28.34% | 31.46% | 26.48% | 48.98% | NONE |
| Philadelphia Stock Exch. | 26.83% | 16.78% | 29.09% | 26.70% | NONE |
| Int'l Securities Exch. | 17.59% | 16.88% | 18.00% | 13.03% | NONE |
| NYSE Arca | 10.46% | 5.80% | 11.89% | 3.57% | NONE |
| NASDAQ Options Market | 6.20% | 13.69% | 4.79% | 1.12% | NONE |
| American Stock Exchange | 6.51% | 11.79% | 5.36% | 5.89% | NONE |
