SEC Rule 606 Report
- Biondo Asset Management LLC - 3rd 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 |
0 |
47 |
| Knight Capital Markets |
36 |
35 |
0 |
38 |
| Auto Trading Desk Fin Svc |
23 |
22 |
33 |
25 |
| Citadel Derivatives Group |
18 |
17 |
67 |
19 |
| National Financial |
12 |
13 |
0 |
11 |
| National Financial Servic |
6 |
11 |
0 |
0 |
100% of total customer orders were non-directed orders.
Securities Listed on The Nasdaq Stock Market
| Route Venues | Total (%) | Market (%) | Limit (%) | Other (%) |
|---|
| Total (%) | 100 |
62 |
1 |
37 |
| National Financial |
37 |
50 |
50 |
14 |
| Auto Trading Desk Fin Svc |
21 |
19 |
0 |
24 |
| UBS Securities LLC |
18 |
15 |
25 |
24 |
| Citadel Derivatives Group |
17 |
12 |
25 |
25 |
| Knight Equity Markets |
7 |
4 |
0 |
14 |
100% of total customer orders were non-directed orders.
Securities Listed on NYSE Amex or Regional Exchanges
| Route Venues | Total (%) | Market (%) | Limit (%) | Other (%) |
|---|
| Total (%) | 100 |
19 |
1 |
80 |
| Citadel Derivatives Group |
53 |
33 |
0 |
59 |
| National Financial |
36 |
43 |
100 |
34 |
| Knight Capital Markets |
6 |
10 |
0 |
5 |
100% of total customer orders were non-directed orders.
Exchange-Listed Options
| Route Venues | Total (%) | Market (%) | Limit (%) | Other (%) |
|---|
| Total (%) | 100 |
8 |
92 |
0 |
| Interactive Brokers LLC |
38 |
50 |
36 |
0 |
| Goldman, Sachs & Co |
25 |
50 |
23 |
0 |
| Susquehanna Investment Gp |
17 |
0 |
18 |
0 |
| Citadel Derivatives Group |
13 |
0 |
14 |
0 |
| Citigroup Global Markets |
8 |
0 |
9 |
0 |
100% of total customer orders were non-directed orders.
Material Aspects of Relationship with Route Venues
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