SEC Rule 606 Report
- Mesirow B/D & I/A Services - 1st Qtr, 2008
(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 |
50 |
30 |
20 |
| New York Stock Exch |
65 |
63 |
67 |
65 |
| Knight Capital Markets |
18 |
16 |
21 |
19 |
| Auto Trading Desk Fin Svc |
17 |
20 |
13 |
16 |
100% of total customer orders were non-directed orders.
Securities Listed on The Nasdaq Stock Market
| Route Venues | Total (%) | Market (%) | Limit (%) | Other (%) |
|---|
| Total (%) | 100 |
42 |
38 |
19 |
| Knight Equity Markets |
47 |
40 |
58 |
42 |
| Auto Trading Desk Fin Svc |
45 |
51 |
37 |
49 |
| UBS Securities LLC |
7 |
9 |
6 |
8 |
100% of total customer orders were non-directed orders.
Securities Listed on American Stock Exchange or Regional Exchanges
| Route Venues | Total (%) | Market (%) | Limit (%) | Other (%) |
|---|
| Total (%) | 100 |
47 |
21 |
32 |
| American Stock Exchange |
54 |
54 |
53 |
56 |
| Auto Trading Desk Fin Svc |
25 |
24 |
22 |
27 |
| Knight Capital Markets |
12 |
11 |
20 |
9 |
| New York Stock Exch |
8 |
11 |
5 |
7 |
100% of total customer orders were non-directed orders.
Exchange-Listed Options
| Route Venues | Total (%) | Market (%) | Limit (%) | Other (%) |
|---|
| Total (%) | 100 |
14 |
68 |
18 |
| Citigroup Global Markets |
100 |
100 |
100 |
100 |
100% of total customer orders were non-directed orders.
Material Aspects of Relationship with Route Venues
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