SEC Rule 606 Report
- Cowen and Company, LLC - 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 |
28 |
30 |
42 |
| New York Stock Exch |
91 |
100 |
98 |
80 |
| Cowen & Co. |
7 |
0 |
2 |
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 |
1 |
7 |
92 |
| Cowen & Co. |
86 |
85 |
75 |
87 |
| Archipelago LLC |
8 |
7 |
20 |
7 |
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 |
21 |
28 |
51 |
| American Stock Exchange |
84 |
98 |
87 |
77 |
| Cowen & Co. |
10 |
0 |
11 |
14 |
100% of total customer orders were non-directed orders.
Exchange-Listed Options
| Route Venues | Total (%) | Market (%) | Limit (%) | Other (%) |
|---|
| Total (%) | 100 |
3 |
97 |
0 |
| Internat'l Secs Exch |
61 |
26 |
62 |
0 |
| Chicago Board OptionsExch |
18 |
26 |
17 |
0 |
| Archipelago LLC |
6 |
5 |
6 |
0 |
| Philadelphia Exch |
5 |
6 |
5 |
0 |
| Boston Stock Exch |
4 |
1 |
4 |
0 |
100% of total customer orders were non-directed orders.
Material Aspects of Relationship with Route Venues
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