SEC Rule 606 Report
- Legent Clearing, 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 |
42 |
39 |
19 |
| Bernard L. Madoff |
61 |
60 |
58 |
70 |
| UBS Securities LLC |
26 |
25 |
29 |
19 |
| Auto Trading Desk Fin Svc |
12 |
14 |
12 |
10 |
100% of total customer orders were non-directed orders.
Securities Listed on The Nasdaq Stock Market
| Route Venues | Total (%) | Market (%) | Limit (%) | Other (%) |
|---|
| Total (%) | 100 |
44 |
37 |
18 |
| Bernard L. Madoff |
37 |
48 |
26 |
32 |
| Knight Equity Markets |
33 |
18 |
44 |
48 |
| Auto Trading Desk Fin Svc |
27 |
29 |
29 |
20 |
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 |
30 |
50 |
20 |
| UBS Securities LLC |
78 |
92 |
70 |
75 |
| Auto Trading Desk Fin Svc |
18 |
8 |
25 |
13 |
100% of total customer orders were non-directed orders.
Exchange-Listed Options
| Route Venues | Total (%) | Market (%) | Limit (%) | Other (%) |
|---|
| Total (%) | 100 |
5 |
95 |
0 |
| Citigroup Global Markets |
56 |
25 |
57 |
0 |
| Interactive Brokers LLC |
42 |
25 |
43 |
0 |
100% of total customer orders were non-directed orders.
Material Aspects of Relationship with Route Venues
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