SEC Rule 606 Report
- Butler, Wick & Co., Inc. - 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 |
67 |
12 |
21 |
| Citadel Derivatives Group |
28 |
29 |
19 |
31 |
| Knight Capital Markets |
22 |
24 |
28 |
16 |
| Bernard L. Madoff |
17 |
17 |
14 |
20 |
| New York Stock Exch |
17 |
15 |
26 |
18 |
| E*Trade Capital Markets, |
15 |
15 |
13 |
15 |
100% of total customer orders were non-directed orders.
Securities Listed on The Nasdaq Stock Market
| Route Venues | Total (%) | Market (%) | Limit (%) | Other (%) |
|---|
| Total (%) | 100 |
69 |
11 |
20 |
| Auto Trading Desk Fin Svc |
53 |
55 |
26 |
60 |
| UBS Securities LLC |
32 |
29 |
59 |
26 |
| Knight Equity Markets |
9 |
9 |
4 |
9 |
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 |
58 |
12 |
30 |
| Knight Capital Markets |
72 |
69 |
83 |
74 |
| Citadel Derivatives Group |
19 |
22 |
8 |
16 |
100% of total customer orders were non-directed orders.
Exchange-Listed Options
| Route Venues | Total (%) | Market (%) | Limit (%) | Other (%) |
|---|
| Total (%) | 100 |
20 |
79 |
1 |
| Susquehanna Investment Gp |
60 |
57 |
61 |
100 |
| Merrill Lynch Smart Route |
22 |
24 |
22 |
0 |
| Interactive Brokers LLC |
8 |
10 |
8 |
0 |
| Citigroup Global Markets |
8 |
8 |
8 |
0 |
100% of total customer orders were non-directed orders.
Material Aspects of Relationship with Route Venues
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