SEC Rule 606 Report
- H & R Block Financial Advisors, Inc. - 2nd 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 |
54 |
13 |
33 |
| Bernard L. Madoff |
55 |
57 |
43 |
56 |
| New York Stock Exch |
39 |
38 |
50 |
37 |
100% of total customer orders were non-directed orders.
Securities Listed on The Nasdaq Stock Market
| Route Venues | Total (%) | Market (%) | Limit (%) | Other (%) |
|---|
| Total (%) | 100 |
53 |
18 |
29 |
| Auto Trading Desk Fin Svc |
26 |
26 |
22 |
28 |
| UBS Securities LLC |
22 |
22 |
27 |
19 |
| Bernard L. Madoff |
22 |
23 |
15 |
24 |
| Knight Equity Markets |
21 |
20 |
23 |
21 |
| Hudson Securities |
8 |
7 |
11 |
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 |
47 |
17 |
36 |
| American Stock Exchange |
38 |
40 |
53 |
28 |
| Auto Trading Desk Fin Svc |
33 |
29 |
20 |
46 |
| Bernard L. Madoff |
13 |
17 |
15 |
7 |
| UBS Securities LLC |
8 |
7 |
8 |
11 |
| E*Trade Capital Markets, |
6 |
6 |
3 |
6 |
100% of total customer orders were non-directed orders.
Exchange-Listed Options
| Route Venues | Total (%) | Market (%) | Limit (%) | Other (%) |
|---|
| Total (%) | 100 |
40 |
58 |
2 |
| Interactive Brokers LLC |
99 |
100 |
99 |
86 |
100% of total customer orders were non-directed orders.
Material Aspects of Relationship with Route Venues
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