SEC Rule 606 Report - Keating Securities, LLC - 1st Qtr, 2009
(Percentages of Total Non-Directed Orders Routed to Individual Route Venues)

Securities Listed on New York Stock Exchange
  No Covered Orders

Securities Listed on The Nasdaq Stock Market
Route VenuesTotal (%)Market (%)Limit (%)Other (%)
Total (%)100 25 0 75
Knight Equity Markets 100 100 0 100
100% of total customer orders were non-directed orders.

Securities Listed on NYSE Alternext US LLC or Regional Exchanges
Route VenuesTotal (%)Market (%)Limit (%)Other (%)
Total (%)100 0 0 100
UBS Securities LLC 100 0 0 100
100% of total customer orders were non-directed orders.

Exchange-Listed Options
  No Covered Orders


Material Aspects of Relationship with Route Venues
How to read this report

© Copyright 2009 Thomson Reuters.
All Rights Reserved.