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.
Routing Information by Quarter
Note: Starting in Q2 2011, routing information is in PDF format. Update or get Adobe Reader for free to view the PDF files.
