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.
Q1 2010
NYSE Securities
| Non Directed Orders | Market Orders | Limit Orders | Other orders | Material Aspects of Relationship | ||
| Total FASI Orders | 99.80% | 34.80% | 64.90% | 0.4% | ||
| Orders routed to: | ||||||
| Automated Trading Desk | 67.87% | 70.90% | 66.42% | 38.04% | NONE | |
| Knight Capital Markets | 26.57% | 19.49% | 30.27% | 42.10% | NONE | |
Nasdaq Securities
| Non Directed Orders | Market Orders | Limit Orders | Other orders | Material Aspects of Relationship | ||
| Total FASI orders | 99.10% | 40.10% | 59.20% | 0.7% | ||
| Orders Routed To: | ||||||
| Knight Capital Markets | 51.19% | 26.75% | 67.81% | 43.06% | NONE | |
| Automated Trading Desk | 33.91% | 53.59% | 20.93% | 5.79% | NONE | |
| Citadel Derivative Group | 14.37% | 19.11% | 10.73% | 51.05% | NONE | |
NYSE Amex/Regional Stock Exchanges
| Non Directed Orders | Market Orders | Limit Orders | Other orders | Material Aspects of Relationship | ||
| Total FASI orders | 99.60% | 39.90% | 58.50% | 1.60% | ||
| Orders Routed To: | ||||||
| Automated Trading Desk | 63.28% | 57.25% | 68.48% | 23.05% | NONE | |
| Knight Capital Markets | 27.66% | 27.34% | 68.48% | 72.91% | NONE | |
| Citadel Derivatives Group | 8.32% | 14.74% | 4.05% | 4.05% | NONE | |
Listed Options
| Non Directed Orders | Market Orders | Limit Orders | Other orders | Material Aspects of Relationship | ||
| Total FASI orders | 100.00% | 18.40% | 76.70% | 4.90% | ||
| Orders Routed To: | ||||||
| Chicago Board Options Ex | 38.51% | 33.20% | 39.07% | 49.81% | NONE | |
| Philadelphia Stock Exch. | 18.35% | 14.70% | 18.73% | 26.06% | NONE | |
| Int'l Securities Exch. | 15.34% | 14.19% | 15.79% | 12.78% | NONE | |
| NYSE Arca | 13.34% | 7.83% | 15.37% | 2.31% | NONE | |
| NYSE Amex | 8.14% | 18.17% | 5.82% | 6.67% | NONE | |
