SEC Rule 606 Report
- Mesirow B/D & I/A Services - 1st Qtr, 2009
(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 |
52 |
26 |
22 |
| Knight Capital Markets |
42 |
39 |
48 |
42 |
| Auto Trading Desk Fin Svc |
34 |
39 |
26 |
31 |
| New York Stock Exch |
24 |
22 |
26 |
27 |
98% of total customer orders were non-directed orders.
Securities Listed on The Nasdaq Stock Market
| Route Venues | Total (%) | Market (%) | Limit (%) | Other (%) |
|---|
| Total (%) | 100 |
44 |
34 |
22 |
| Knight Equity Markets |
49 |
41 |
60 |
47 |
| Auto Trading Desk Fin Svc |
40 |
45 |
31 |
44 |
| UBS Securities LLC |
11 |
14 |
9 |
9 |
100% of total customer orders were non-directed orders.
Securities Listed on NYSE Alternext US LLC or Regional Exchanges
| Route Venues | Total (%) | Market (%) | Limit (%) | Other (%) |
|---|
| Total (%) | 100 |
47 |
27 |
26 |
| Knight Capital Markets |
61 |
58 |
67 |
60 |
| Auto Trading Desk Fin Svc |
38 |
41 |
33 |
39 |
100% of total customer orders were non-directed orders.
Exchange-Listed Options
| Route Venues | Total (%) | Market (%) | Limit (%) | Other (%) |
|---|
| Total (%) | 100 |
20 |
65 |
15 |
| 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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