SEC Rule 606 Report
- BNY Capital Markets - 4th Qtr, 2011
(Percentages of Total Non-Directed Orders Routed to Individual Route Venues)
Securities Listed on New York Stock Exchange Euronext
| Route Venues | Total (%) | Market (%) | Limit (%) | Other (%) |
|---|
| Total (%) | 100 |
1 |
7 |
93 |
| ConvergEx Execution Solut |
91.37 |
99.81 |
100.00 |
90.68 |
| BNY Mellon Capital Market |
7.17 |
0.00 |
0.00 |
7.75 |
100.00% of total customer orders were non-directed orders.
Securities Listed on The Nasdaq Stock Market
| Route Venues | Total (%) | Market (%) | Limit (%) | Other (%) |
|---|
| Total (%) | 100 |
1 |
3 |
96 |
| ConvergEx Execution Solut |
95.75 |
100.00 |
100.00 |
95.59 |
100.00% of total customer orders were non-directed orders.
Securities Listed on NYSE Amex or Regional Exchanges
| Route Venues | Total (%) | Market (%) | Limit (%) | Other (%) |
|---|
| Total (%) | 100 |
1 |
8 |
91 |
| ConvergEx Execution Solut |
94.38 |
100.00 |
100.00 |
93.83 |
100.00% of total customer orders were non-directed orders.
Exchange-Listed Options No Covered Orders
Material Aspects of Relationship with Route VenuesHow to read this report
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